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Definition of ``Prepared By or On Behalf of the Issuer'' for Purposes of Determining if an Offering Document is Subject to State Regulation

SEC · final-rule · Published 1997-05-06 · Effective 1997-05-06 · 62 FR 24572

Document

Document number: 97-11692
Federal Register citation: 62 FR 24572
CFR reference: 17 CFR 230
Type: Rule
Action: Final rule.
Category: final-rule
Agency: US Securities and Exchange Commission
Publication date: 1997-05-06
Effective date: 1997-05-06
Docket: Release No. 33-7418

Abstract

The National Securities Markets Improvements Act of 1996 mandates that the Securities and Exchange Commission (``Commission'') adopt a definition of the phrase ``prepared by or on behalf of the issuer'' found in Section 18 of the Securities Act of 1933. The Commission today adopts this definition, thereby providing guidance as to when an offering document is subject to state regulation.

Source

Authoritative: Federal Register document
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