Category Archives: Regulations

17 CFR 240.3a4-1 – Associated persons of an issuer deemed not to be brokers.

17 CFR 240.3a4-1 – Associated persons of an issuer deemed not to be brokers. There are 20 Updates appearing in the Federal Register for 17 CFR 240. Select the tab below to view, or View eCFR (GPOAccess) CFR Updates Authorities … Continue reading

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Rule 144A

Form Electronic Code Of Federal Regulations (http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&sid=20c66c74f60c4bb8392bcf9ad6fccea3&rgn=div5&view=text&node=17:2.0.1.1.12&idno=17#17:2.0.1.1.12.0.36.29) § 230.144A   Private resales of securities to institutions. Preliminary Notes: 1. This section relates solely to the application of section 5 of the Act and not to antifraud or other provisions of the … Continue reading

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Regulation D

From Electronic Code Of Federal Regulations  (http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&sid=441856d07884ed3f0111d84a92d9765f&rgn=div5&view=text&node=17:2.0.1.1.12&idno=17) Regulation D—Rules Governing the Limited Offer and Sale of Securities Without Registration Under the Securities Act of 1933 Source: Sections 230.501 through 230.506 appear at 47 FR 11262, Mar. 16, 1982, unless otherwise … Continue reading

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