Did The SEC Charge The Wrong Person With Failure To File Timely A Form D?
By EsqSocial Corporation 27/12/24
I recently wrote about the Securities and Exchange Commission's announcement that it had settled "charges" against several entities for failing to file time Forms D. One of the entities settling with the SEC is a registered investment adviser to private funds. According to the SEC's two of these funds conducted unregistered offerings in which the investment adviser engaged in a general solicitation. Consequently, the funds were required to rely on either Rule 504 or Rule 506(c). A Form D is...
By: Allen Matkins