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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Topics: Advertising, Bad Actors, Disqualification, Dodd-Frank, General Solicitation, JOBS Act, Private Placements, Regulation D, Rule 144A, Rule 506 Offerings, SEC
Published In: General Business Updates, Finance & Banking Updates, Securities Updates
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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