Event Details
June 22, 2011
Description
SEC adopted final rules implementing new exemptions from the registration requirements of the Investment Advisers Act of 1940.
Participants (1)
| Name | Type | Mentions | |
|---|---|---|---|
| SEC | organization | 711 | View Entity |
Source Documents (1)
HOUSE_OVERSIGHT_024082.jpg
This is page 71 of a confidential financial memorandum (Control Number 257), likely a Private Placement Memorandum for an investment fund. It details regulatory compliance strategies following the Dodd-Frank Act of 2011, specifically noting that the General Partner and Management Company intend to rely on the 'venture capital fund exemption' to avoid registering as investment advisers with the SEC. It also includes standard legal disclaimers regarding 'forward-looking statements,' warning investors that projections are not guarantees of future performance. The document bears a House Oversight Committee Bates stamp, indicating it was part of a congressional investigation.
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