Get Securities And Exchange Commission Form N-23c3a

Rule 23c-3 permits a closed-end fund or a business development company to repurchase its common stock from shareholders at periodic intervals pursuant to repurchase offers made to all of the fund's shareholders. The following is a summary of how an interval fund may conduct repurchase offers pursuant to that rule.

Place of business is also defined in SEC Rule 203A-3 as an office at which the IAR regularly provides investment advisory services, solicits, meets with, or otherwise communicates with clients and any other location that is held out to the general public as a location at which the IAR provides investment advisory ...

Rule 203A-2(e) is commonly known as the “Internet Adviser Exemption.” Originally adopted in 2002, advisers relying on the Internet Adviser Exemption are permitted to register with the SEC, even if they do not have enough assets under management or otherwise qualify for federal registration.

The final rule changes this provision and requires “a website, mobile application, or similar digital platform through which the investment adviser provides digital investment advisory services on an ongoing basis to more than one client (except during temporary technological outages of a de minimis duration).” With ...

Section 203A of the Investment Advisers Act of 1940 (the "Advisers Act") generally prohibits investment advisers from registering with SEC unless the adviser has more than $25 million in assets under management or is an adviser to a registered investment company.

Registration statements have two principal parts. In the prospectus, your company must clearly describe important information about its business operations, financial condition, results of operations, risk factors, and management. The prospectus must also include audited financial statements.

The Securities and Exchange Commission (SEC) oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds in an effort to promote fair dealing, the disclosure of important market information, and to prevent fraud.

Rule 203A-2(b) permits an investment adviser that controls, is controlled by or under common control with, another SEC-registered investment adviser to register with the SEC. Exemption for Certain Investment Advisers Operating Through the Internet, Advisers Act Release No. 2091 (Dec.