Legal

Discover the eligibility criteria, advantages, and key differences of Rule 506(b) vs. Rule 506(c).

Learn what an Exempt Reporting Advisor (ERA) is and how it impacts private fund managers. Understand the regulatory requirements, benefits, and challenges of ERA status in the world of fund management.

Learn about Special Purpose Vehicles (SPVs) and how they help manage financial risk and isolate assets. Discover the benefits, implementation steps, and risks associated with SPVs in finance.

Learn about indemnification in business deals, a crucial contractual safeguard that protects against financial liabilities. Understand its role in mergers, acquisitions, and more.

Learn why antitrust laws are essential for emerging fund managers. Understand how these laws ensure fair competition, protect investors, and help you navigate the fund management landscape.

Learn about the Private Placement Memorandum (PPM), a critical document for fund managers raising capital from investors. Discover what a PPM includes, such as investment strategies, risks, and legal structures, and why it's essential for compliance and transparency. Get expert insights on drafting a PPM for your fund.

Learn what a Form D filing is and why it’s crucial for fund managers raising capital through private placements. Discover how filing a Form D helps you comply with SEC regulations, secure exemptions, and provide transparency to investors. Get expert insights on the process and importance of timely filings.

Learn about the 506(b) exemption, which allows private companies to raise capital from accredited investors without SEC registration. Discover the benefits of cost savings, speed, and privacy while understanding the key compliance requirements. Gain insights into how fund managers can use this exemption effectively.

Learn about Blue Sky laws and how they protect investors from securities fraud. Discover the process of making a Blue Sky filing, including state requirements, disclosure documents, and the registration process for fund managers. Gain insights into compliance and the history behind these state-level regulations.

Learn how to structure your investment committee to optimize decision-making and compensation. Discover the roles of expert investors, fund managers, and money raisers, and how to split equity effectively. Get insights from Bridger Pennington on building a balanced and successful fund management team.

Discover why taking the Series 65 Exam can unlock significant earning potential for fund managers. Learn how passing this exam can help you charge management fees and boost your career as an investment advisor. Get expert insights from Bridger Pennington on the process and benefits of licensing.

Learn essential steps to take before meeting with your lawyer to set up your investment fund, ensuring a smoother and more efficient process.

Learn how key regulations like the SEC, Glass-Steagall Act, and Dodd-Frank Act have shaped the investment landscape. Discover their impact on funds and investors at Fund Launch.

Explore the key distinctions and regulatory requirements of the 3(c)5 exemption for investment funds.

Avoid SEC entanglements by learning how to structure a fund without a license. Explore the roles of Series 7, Series 65, and performance fees to keep your fund on track.

Discover the key differences between 3(c)(1) and 3(c)(7) fund exemptions. Learn which exemption is best for your investment fund based on investor type, number of investors, and investment strategies.