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Securities Law Update: Intrastate Offerings Section 3(a)(11) and Rule 147...

Section 3(a)(11) of the Securities Act of 1933, as amended (Securities Act) provides an exemption from the registration requirements of Section 5 of the Securities Act for “[A]ny security which is a...

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When Can Separate Issuer Offerings That Occur Within a Short Time Be Integrated?

The integration doctrine prevents issuers from circumventing the registration requirements of the Securities Act of 1934 by determining whether two or more securities offerings are really one offering...

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Proposed Rules Eliminating the Prohibition Against General Solicitation and...

As required by Title II of the JOBS Act, on August 29, 2012, the SEC has published proposed rules eliminating the prohibition against general solicitation and advertising in Rules 506.  I previously...

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State Crowdfunding Using Intrastate Offerings and Rule 147

The SEC has yet to publish proposed rules under Title III of the JOBS Act – the Crowdfunding Act.  The Crowdfunding Act amends Section 4 by of the Securities Act of 1933 (the Securities Act) to create...

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SEC Extends Valuable Guidance to Determine and Verify Accredited Investors

We thank each and every one of our Securities-Law-Blog.com readers for your devotion and positive interaction. Without you, writing these blogs just wouldn’t be exciting. Nominate Securities Law Blog...

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

ABA Journal’s 10th Annual Blawg 100 —————————————————————————————————— On November 17, 2016, the SEC Division of Corporation Finance issued a new Compliance and Disclosure Interpretations (C&DI)...

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