Check out this recent Hardin contribution to the February 2020 issue of the National Society of Compliance Professionals’ (NSCP) Currents newsletter: In “Form ID, Form D, Blue Sky…Oh My!“, Denise Alfieri, Managing…

As a general rule, private funds that rely on an exemption from registration under Rule 506 of Regulation D of the Securities Act (including offshore funds) have to submit a…

In addition to basic blocking and tackling, compliance officers often have the thankless job of performing the annual review of their compliance program required by Advisers Act Rule 206(4)-7.  As…

In this installment of Hardin’s “Devil is in the Details” series on state blue sky filings for private fund managers, we dig into common exemptions from blue sky filing requirements. …

In Part 6 of Hardin’s “Devil is in the Details” series on state blue sky filings, we shine the spotlight on Termination and Withdrawal Notice filings.  Links to other articles…

As noted in Part 2 of this series of articles on blue sky filings, private funds (“issuers”) relying on an exemption from registration of their offerings are required to submit…

  With laws varying by state, keeping up with blue sky filing requirements can be a headache.  Many state laws don’t mention amendments (or renewals), but does that mean they…

Like other private fund managers, those advising offshore funds offered in the United States (“U.S.”) routinely rely on Regulation D (“Reg D”) to avoid registration with the SEC under the…

Private fund managers routinely rely on Regulation D (“Reg D”) to avoid registering their offerings with the Securities and Exchange Commission (“SEC”) under the Securities Act of 1933.   Rule 506 of Reg…

With all the filings regulators require these days, just getting started can seem daunting.  Luckily, Hardin Compliance Consulting, LLC (HCC) is here to help!  HCC has years of experience in…