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Articles from Bilal Malik | Selfgrowth.com
- Financial Industry Regulatory Authority (“FINRA”) Restrictions on New Issues - by Submitted on Dec 02, 2011 from Bilal MalikFINRA Rule 2790 FINRA Rule 2790 is intended to protect the integrity of the public offering system by placing significant limits on a broker-dealer’s ability to purchase or hold certain new issues or sell them to favored clients or certain other persons who may direct future business to the ...
Views: 596 - The Investment Company Act of 1940: Preserving The Definitional Exceptions to Investment Company Registration - by Submitted on Dec 02, 2011 from Bilal MalikThe Investment Company Act and Non-Public Offerings The Investment Company Act of 1940 (“ICA’40”) provides for two exceptions from registration for hedge funds under Section 3(c)(1) and 3(c)(7), both of which require that the offering of limited partnership interests/securities under such ...
Views: 689 - ERISA Considerations: What Fund Managers Need to Know - by Submitted on Dec 02, 2011 from Bilal MalikThe following discussion provides a general overview of how an investment company or partnership (hereinafter, a “fund”) and its principal investment manager may be impacted upon the acceptance of investor capital contributions (collectively, “benefit plan investors”), which are generally ...
Views: 2059 - Venture Capital Funds post-Dodd-Frank: Investment Adviser Registration and Reporting - by Submitted on Nov 18, 2011 from Bilal MalikSEC Investment Adviser Registration Exemption Under the Securities and Exchange Commission’s (“SEC”) new rules enacted pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act, a person who meets the definition of “investment adviser” under the Investment Advisers Act of ...
Views: 453 - Private Advisers post-Dodd-Frank: the Private Adviser Exemption and the Private Fund Adviser Exemption - by Submitted on Nov 18, 2011 from Bilal MalikDodd-Frank Eliminates Private Adviser Exemption Under the final rules and amendments (the “Rules”) under the Investment Advisers Act of 1940 adopted by the Securities and Exchange Commission (“SEC”) following the Dodd-Frank Wall Street Reform and Consumer Protection Act, investment advisers ...
Views: 412 - Unrelated Business Taxable Income: Investment Funds, Tax-Exempt Investors and Offshore Companies - by Submitted on Dec 02, 2011 from Bilal MalikMost U.S.-based investment funds (“funds”) are typically organized as limited partnerships or limited liability companies because of the tax efficiencies related to their “flow through” taxation. That is, unlike a corporation, which pays double taxation, there are no taxes paid at the business ...
Views: 955