Exempt Reporting Entities

Dem Commissioner endorses redefinition of "shareholder of record"

State securities regulators opened 196 investigations of exempt private fund advisers last year, bringing 67 new enforcement cases, NASAA says in its latest annual report. ...

States want beneficial owners on Form D

Helikon did not qualify for an exception to Rule 105 when it purchased shares in the Offering

The House Financial Services Committee approved legislation that would require family offices with assets above $750 million to file Form Ds with federal regulators. Offices ...

Fresh enforcement as SEC weighs Reg D reforms

Experts see 'a move away from more access,' and toward more openness

'Reg D... is designed to balance the demand and supply side'

Lapse in forming an Investor Advisory Committee an issue

Naya Ventures neglected to take steps to ensure that an accounting firm was engaged to perform an annual audit as the partnership agreement required