Tag Archives: Rule 144A

When You Can Advertise

As noted here previously, the SEC amended Rule 506 to permit an issuer to engage in general solicitation or general advertising in offering and selling securities pursuant to Rule 506, provided that all purchasers of the securities are accredited investors … Continue reading

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SEC to Meet to Decide on Reg. D Solicitation Rules

The SEC has set a date for an open Commission meeting for next Wednesday to finally adopt rules relating to Title II of the JOBS Act, that will permit issuers to conduct Rule 506 offerings using general solicitation under Reg … Continue reading

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Film, FINRA, Funding Portals, Investments, Legislative Intent, SEC, Small Business, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

SEC’s Trip to the Woodshed (Again)

Tomorrow, Wednesday, April 17, 2013, at 2 pm, the House Subcommittee on Oversight and Investigations will hold a hearing titled “Examining the SEC’s Failure to Implement the JOBS Act and its Impact on Economic Growth.” This hearing will examine the … Continue reading

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Wrist Slap Time Friday

Note SEC open meeting tomorrow (8/29/12) regarding whether to eliminate the prohibition against general solicitation and advertising in securities offerings conducted pursuant to Rule 506 of Regulation D and under Rule 144A. On Friday, Aug. 30, Chairman Schapiro is scheduled … Continue reading

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