Law Blog Tag: Section 4(6)

The SEC Establishes Key Exemption to the Broker-Dealer Registration Requirements for M&A Brokers

Proposed Crowdfunding Rules – Part IV

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.