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Tag Archives: examples
SEC Approves Rule On Advertising Private Offerings
The SEC just approved a new rule that will permit general solicitation for private offerings under Regulation D, Rule 506 as long as the issuer takes reasonable steps to verify that the purchasers are “accredited investors.” Also approved today was … Continue reading →
Posted in Broker dealers, Congress, FINRA, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Small Business, Wall Street
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Tagged accredited investors, advertising, bad actors, cease and desist, consent orders, Elysse Walter, examples, felons, filing, Financial Industry Regulatory Authority, FINRA, Form D, fraud, general solicitation, hedge funds, JOBS Act, Mary Jo White, monitor, private offeriings, private placements, proposed rule, reasonable steps, Regulation D, Rule 506, rules, safe harbor, SEC, Securities and Exchange Commission, Troy Paredes, verify
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