The Securities and Exchange Commission (Commission) last week adopted amendments to Rule 501(a) (Rule) of Regulation D under the Securities Act of 1933, as amended (Act), to add additional categories of individuals and...more
The Securities and Exchange Commission (SEC) has adopted amendments to its rules and certain forms that will require registrants to include an active hyperlink to each filed exhibit as identified in the exhibit index of a...more
As we have discussed in prior Bulletins, pursuant to Section 5 of the Securities Act of 1933 (Securities Act) and state securities laws, any offer and sale of a security must be registered with the Securities and Exchange...more
11/16/2016
/ Amended Rules ,
Bad Actors ,
Intrastate Offerings ,
Registration Requirement ,
Regulation D ,
Repeal ,
Rule 147 ,
Rule 147A ,
Rule 504 ,
Rule 505 ,
Safe Harbors ,
Sales of Securities ,
Section 5 ,
Securities ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Small Offering Exemptions ,
State of Residency ,
State Securities Claims
As we have noted in prior Bulletins, pursuant to Section 5 of the Securities Act of 1933 (Securities Act) and state securities laws, any offer and sale of a security must be registered with the Securities and Exchange...more
By way of background, pursuant to Section 5 of the Securities Act of 1933 (Securities Act) and state securities laws, any offer and sale of a security must be registered with the Securities and Exchange Commission (SEC) and...more