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 Newsletter below for more information.
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