Category: Blue Sky Filings
Blue Sky Filings | Hedge Funds | Private Equity Funds | Private Investment Funds | Regulatory Filings
The Devil is in the Details Part 8: Blue Sky Filings – Picking Your State
When making a private fund offering and you don’t know which blue-sky laws apply, who you gonna call? . . . Hardin Compliance! Although private fund managers know they have…
Blue Sky Filings | Private Equity Funds | Private Investment Funds | Regulatory Filings
Practical Thought Leadership – Form D & Blue Sky Filings for Private Funds
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…
Blue Sky Filings | COVID-19 Pandemic | Hedge Funds | Private Equity Funds | Private Investment Funds | Regulatory Filings
Blue Sky Filings & COVID-19 Considerations
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…
Annual Compliance Program Review | Blue Sky Filings | Broker Dealer | Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Conflicts of Interest | Cybersecurity | Disclosures | Examinations and Audits | Form ADV | Investment Advisers | Mutual Funds | SEC Risk Alert | Seniors and Vulnerable Investors | States | Supervision |
SEC’s Top Eleven Hits: Investment Adviser Regulatory Review 2019
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…
Blue Sky Filings | Hedge Funds | Private Equity Funds | Private Investment Funds | Regulatory Filings
The Devil is in the Details Part 7: Blue Sky Exemptions for Private Fund Managers
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. …
Blue Sky Filings | Hedge Funds | Private Equity Funds | Private Investment Funds | Regulatory Filings
The Devil is in the Details Part 6: Blue Sky Terminations & Withdrawals for Private Fund Managers
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…
Blue Sky Filings | Hedge Funds | Private Equity Funds | Private Investment Funds | Regulatory Filings |
The Devil is in the Details Part 5: Blue Sky Renewals for Private Fund Managers
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…
Blue Sky Filings | Private Equity Funds | Private Investment Funds | Private Placements | Regulatory Filings |
The Devil is in the Details Part 4: Blue Sky Amendments for Private Fund Managers
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…
Blue Sky Filings | Private Equity Funds | Private Investment Funds | Private Placements | Regulatory Filings
The Devil is in the Details Part 3: Blue Sky and Form D Filing Requirements for Offshore Funds
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…
Blue Sky Filings | Private Equity Funds | Private Investment Funds | Private Placements | Regulatory Filings
The Devil is the Details Part 2: Form D and Blue Sky Filings Renewals and Amendments for Private Fund Managers
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…