Securities

Recent Posts

SEC Implements the “Bad Actor” Disqualification Provisions of Dodd-Frank
Posted on 30 Jul 2013 by Alexander Davie

Previously, I summarized the Securities and Exchange Commission’s implementing regulations of Title II of the JOBS Act , lifting the ban on general solicitation for offerings exempt under Rule 506 of Regulation D, which were finalized on July 10... Read More

Disqualifying Certain Persons From Reg. D Offerings -- Proposed Rules
Posted on 30 Jun 2011 by K & L Gates LLP

By Cary J. Meer, Deborah A. Linn and Jarrod R. Melson Excerpt: On May 25, 2011, the Securities and Exchange Commission (the "SEC") proposed and sought comment on an amendment to Rule 506 of Regulation D under the Securities Act of 1933... Read More