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Disqualifying Certain Persons From Reg. D Offerings -- Proposed Rules

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, as amended (the "1933 Act"), that would...

SEC Implements the “Bad Actor” Disqualification Provisions of Dodd-Frank

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, 2013. At the same meeting, the SEC also finalized...