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SEC | RIN: 3235-AK97 | Publication ID: 2012 |
Title: Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings | |
Abstract: The Commission proposed rules to disqualify securities offerings involving certain "bad actors" from eligibility for the exemptions under Rule 506 of Regulation D, in accordance with section 926 of the Dodd-Frank Act. | |
Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations.) | |
Legal Authority: 15 USC 77c(a) 15 USC 77d 15 USC 77s 15 USC 77z-3 |
Legal Deadline:
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Timetable:
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Regulatory Flexibility Analysis Required: Yes | Government Levels Affected: Undetermined |
Small Entities Affected: Businesses | Federalism: Undetermined |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/proposed/2011/33-9211.pdf | |
RIN Data Printed in the FR: Yes | |
Agency Contact: Johanna Vega Losert Division of Corporation Finance Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-3460 Email: losertj@sec.gov |