Law Blog Tag: rule 505

Multiple Changes To Private Offering Compliance And Disclosure Interpretations (C&DI)

January 23, 2018 in C&DI, Regulation D, SEC

The SEC has been fine-tuning its Compliance and Disclosure Interpretations (C&DI), making multiple amendments, additions and deletions on September 20, 2017. The SEC made revisions to reflect changes to Rules 147 and 504, the repeal of Rule 505, as well as numerous non-substantive revisions throughout the C&DI to update for current rules and statutory references. Read the full article…

SEC Issues Report On Accredited Investor Definition

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

SEC Division of Corporation Finance Issues Guidance On Bad Actor Waivers

Crowdfunding Act – What about state securities laws?

On April 5, 2012 President Obama signed the JOBS Act into law. Part of the JOBS Act is the Crowdfunding Act, the full title of which is the “Capital Raising Online While Deterring Fraud and Unethical Non-Disclosure Act of 2012”. The SEC has been mandated with the task of drafting the crowdfunding rules and regulations by early 2013.

Section 4(6) Registration Exemption for Accredited Investors

January 28, 2010 in Securities Attorneys

Section 4(6) provides a registration exemption for offerings to accredited
investors, if the aggregate offering amounts up to the dollar limit of
Section 3(b) (currently $5,000,000), if there is no advertising or public
solicitation in connection with the transaction by the Issuer or anyone
acting on the Issuer’s behalf.