Law Blog Category: Rule 506

Recommendations Of SEC Government-Business Forum On Small Business Capital Formation

In early April, the SEC Office of Small Business Policy published the 2016 Final Report on the SEC Government-Business Forum on Small Business Capital Formation, a forum I had the honor of attending and participating in. As required by the Small Business Investment Incentive Act of 1980, each year the SEC holds a forum focused Read the full article…

SEC Issues Guidance On Integration With A 506(c) Offering

January 10, 2017 in C&DI, Rule 506, SEC

On November 17, 2016, the SEC Division of Corporation Finance issued a new Compliance and Disclosure Interpretations (C&DI) related to the integration of a completed 506(b) offering with a new 506(c) offering. The new C&DI confirms that 506(c) offering will not integrate with a previously completed 506(b) offering. Effective September, 2013, the SEC adopted final Read the full article…

Testing The Waters; Regulation A+ And S-1 Public Offerings – Part 1

SEC Issues Report On Accredited Investor Definition

SEC Proposes Amendments Related To Intrastate And Regional Securities Offerings- Part II- Rules 504 And 505

SEC Issues Guidance On General Solicitation And Advertising In Regulation D Offerings

SEC Issues Guidance On “Voting Power” For Purposes Of Bad Actor Rules

Private Offering Rule Changes Since JOBS Act

NASAA and US Senate Oppose State Law Pre-Emption in Proposed Regulation A+

SEC Extends Valuable Guidance to Determine and Verify Accredited Investors

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