Regulation D Offerings and Private Placements: ALI-ABA Course of Study MaterialsAmerican Law Institute-American Bar Association Committee on Continuing Professional Education, 2010 - Limited partnership |
Contents
STUDY MATERIALS | 1 |
OVERVIEW | 5 |
Limitations on the Manner of Offering Under Regulation D | 13 |
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Common terms and phrases
advertising affiliates Agreement amended amount applicable assets benefit plan broker broker-dealer capital Commission company's compliance Corp Corporation court dealer deemed defined directors disclose E.F. Hutton employee entity ERISA Escrow exemption from registration federal fees fiduciary filing finder Form Fund Fund's hedge fund income insider trading interest investment adviser Investment Company Act issued issuer K&L GATES large accredited investors liability Limited Partners limited partnership Litig material NASAA offerees offers and sales Operating Company paragraph participation period permitted placement agent plaintiff pooled investment prior private offering private placement private placement memorandum prospective investors public offering pursuant qualified purchaser reasonable registration statement Regulation D offering reliance reporting resale restricted securities risk safe harbor sale of securities SEC staff Section 4(2 Securities Act securities laws sell seller shares sold solicitation specific subscription Supp transaction underwriter Uniform Securities Act violation