SEC Adopts Rule Defining "Bad Actors" Disqualified From Using Rule 506 Of Regulation D To Raise Capital

Evan Gilbert, William Schutte, Peter Waltz
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In This Issue:

- Covered Persons

- Disqualifying Events

- The Pre-Effectiveness Event Exclusion

- Waivers and Exclusions

- Ramifications of Rule 506 Disqualification

- Excerpt from Covered Persons:

In addition to covering the issuer, the bad actor disqualification of Rule 506(d) applies to the following persons that have had a disqualifying event:

• Predecessors to the issuer and its affiliated issuers...

Please see full publication below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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