entity · derived

Sec registration

4 claims across 3 works, 2013–2019.

Derived node: assembled mechanically from the claims carrying sec-registration. A roster, not an adjudicated definition.

Every claim under this term

2337268-027 2013 condition: An adviser that would otherwise have to register in fifteen or more states because of the $100 million AUM threshold may register directly with the SEC instead, so multi-state registration burden oper
2337268-028 2013 condition: Investment advisers that provide advice exclusively through the Internet may register with the SEC regardless of how much they have under management, so the delivery channel rather than size determine
2389423-023 2014 empirical: The analysis uses data from a 2012 survey study of a population of 1,264 private fund advisers registered before the SEC's registration effective date for private funds of March 30, 2012.
3411110-005 2019 empirical: Overstock.com issued the first SEC registered digital securities using blockchain technology, and because the issuer was a public company conducting a shelf registration, the offering functions as a w