Posts tagged as:

regulation D

Interpretive Release on Regulation D

April 28, 2009

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 the Regulation D rules.  Please [...]

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Hedge Fund Disclaimer

January 6, 2009

How to write a hedge fund disclaimer
One of the more unusual requests (in my opinion) that we receive on this site is how to write a hedge fund disclaimer.  I think that this is unusual because I would assume that most hedge fund managers would want to make sure that anything with a disclaimer has [...]

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Alabama Hedge Fund Law - Regulation D Filings

December 12, 2008

In our continuing effort to expand our hedge fund law resources on this blog, we will be posting statutes and other legal resources from each of the states.  Because each state has different laws and enforces those laws differently, hedge fund lawyers often discuss state specific hedge fund issues with the securities division prior to [...]

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Hedge Fund Law - Summary of Hedge Fund Laws and Regulations

November 18, 2008

he following is a summary of the major laws which affect the hedge fund industry.  If you have any questions on how these laws impact hedge funds in general or your specific situation, please contact us.
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Securities Act of 1933 – the 1933 Act was enacted on May 27, 1933 as a reaction to the market [...]

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Overview of the Securities Act of 1933

November 12, 2008

The Securities Act of 1933 (the “Securities Act”) is the cornerstone to the regulation of securities in the United States. The most important feature of the act is the requirement that all securities be registered or fall within an exemption from registration.  This overview will detail the important provisions of the Securities Act.

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Raising Hedge Fund Capital – Special Investor Meetings

November 11, 2008

Often word of mouth is the best way to get an idea spread through groups of people – especially when most forms of marketing is not allowed.  One way to make a name for your hedge fund is through your existing investors who provide a source for potential investors referrals.  If your investors are happy [...]

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Overview of Regulation D for Hedge Funds

October 15, 2008

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 two main exemptions from the registration [...]

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What is an accredited investor? Accredited investor definition

September 17, 2008

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, the most common of the below [...]

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Hedge Fund Websites - How to Run a Hedge Fund Website

September 15, 2008

A common question from start up hedge fund managers is what kind of a website can I have and how do I go about getting investors through an internet solicitation? The unfortunate answer is that hedge fund managers must be very careful when they are designing their website. In general, websites for a [...]

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What is a hedge fund?

August 21, 2008

In short, hedge funds are pooled investment vehicles. That is, a hedge fund is a company which pools money from its investors (owners) and makes investments pursuant to the fund’s stated investment objective. There are many different types of hedge funds, which can invest in everything from stocks and bonds to more esoteric investments like [...]

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