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Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings

SEC · final-rule · Published 2013-07-24 · Effective 2013-09-23 · 78 FR 44730

Document

Document number
2013-16983
Federal Register citation
78 FR 44730
CFR reference
17 CFR 200
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2013-07-24
Effective date
2013-09-23
Docket
Release No. 33-9414

Abstract

We are adopting amendments to our rules to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 926 requires us to adopt rules that disqualify securities offerings involving certain "felons and other `bad actors"' from reliance on Rule 506 of Regulation D. The rules must be "substantially similar" to Rule 262 under the Securities Act, which contains the disqualification provisions of Regulation A under the Securities Act, and must also cover matters enumerated in Section 926 of the Dodd-Frank Act (including certain state regulatory orders and bars).

Source

Authoritative
Federal Register document
Machine
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