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Posts Tagged ‘ reg d ’

30 July

New Accredited Investor Definition

Fund Managers Should Amend Subscription Documents The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Act”) immediately changed the definition of accredited investor. Prior to the enactment of the Act, an accredited investor could use the value of their primary residence to compute the $1,000,000 net worth requirement. Now, investors [...]

29 March
Posted in Legal Resources

Regulation D Annual & Interim Amendments

Form D Updating Requirements Initial Filing Requirement As discussed in our overview of Regulation D, hedge funds must file a Form D with the SEC within 15 days of the first subscription of hedge fund interests.  This filing is now done completely online through the SEC’s EDGAR filing system.  If [...]

28 April
Posted in Laws

Interpretive Release on Regulation D

There are occasionally times when questions arise as to the meaning of certain undefined terms within statutes or regulations.  Practitioners have a variety of different resources which can help shed light onto these undefined terms or at least provide background information or context.  Below is the SEC’s Interpretive Release on [...]

15 October

Overview of Regulation D for Hedge Funds

Interests in hedge funds are securities which mean that hedge fund managers must follow the federal (and state) laws regarding the sale of securities to investors.  Typically, securities will need to be registered under the Securities Act of 1933 unless there is an exemption from the registration provisions. There are [...]

What is an accredited investor? Accredited investor definition

Hedge fund managers can only admit certain investors into their hedge funds.  Most hedge funds are structured as private placements relying on the Regulation D 506 offering rules.  Under the Reg D rules, investors must generally be “accredited investors.”  Many hedge funds have additional requirements. With regard to individual investors, [...]

Hedge Fund Legal Services

Cole-Frieman & Mallon LLP provides comprehensive legal services for new and existing hedge funds as well as for other investment management companies.

If you are thinking of starting a hedge fund or an incubator fund, please call Bart Mallon of Cole-Frieman & Mallon LLP today at
415-868-5345.

View Bart Mallon's profile on LinkedIn


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