The document outlines the regulatory and tax considerations for SOF III - 1081 Southern Financial LLC, focusing on securities laws, the Investment Company Act of 1940, and the Commodity Exchange Act. It discusses the reliance on exemptions from registration under the Securities Act of 1933 and Regulation D, the disclosure requirements under Rule 506(e) of Regulation D, and past settlements involving Deutsche Bank Securities Inc. and Deutsche Asset Management. It also covers compliance with the Investment Company Act of 1940 and the Commodity Exchange Act, including a no-action relief claim filed with the CFTC.
doj/DataSet10/EFTA01451518.pdf
{"key_people":["General Partner","Investment Manager"],"document_type":"legal","key_locations":["New York"],"document_subtype":"Regulatory and Tax Considerations","key_organizations":["Deutsche Bank Securities Inc.","Securities and Exchange Commission","National Association of Securities Dealers","New York Stock Exchange","New York Attorney General","Deutsche Asset Management","Illinois Security Department","Deutsche Investment Management Americas Inc.","Scudder","Kemper"]}