Home Archive by Category "Section 5"
CROWDFUNDING FROM A TO Z
As the expected deadline for the SEC to publish rules and regulations enacting the Crowdfunding Act (Title III of the Jumpstart Our...
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Five Essential Conditions for Unregistered Spin-Offs
A spin-off occurs when a parent company distributes shares of a subsidiary to the parent company’s shareholders such that the subsid...
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Overview of Recognized Exemptions From Section 5
The Securities Act of 1933 recognizes two broad types of exemptions to the registration requirements of Section 5, exempt securities...
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SEC Issues New C&DI On Rule 701
On June 23, 2016, the SEC issued seven new Compliance and Disclosure Interpretations (“C&DI”) related to Rule 701 of the Securit...
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