Broker Dealer | Hardin News | Investment Advisers | Private Equity Funds | Private Placements | Referrals

Practical Thought Leadership – Common Myths About Finders, Solicitors, Unregistered Broker-Dealers and the “Issuer Exemption”

Hardin is pleased to share this recent contribution to the National Society of Compliance Professionals (NSCP)  Currents: Common Myths About Finders, Solicitors, Unregistered Broker-Dealers, and the “Issuer Exemption” by Partner…

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…