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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:
Action Source Description Date
Final  Statutory  The Dodd-Frank Act requires final rules within a year of enactment.  07/21/2011 
Timetable:
Action Date FR Cite
NPRM  06/01/2011  76 FR 31518 
NPRM Comment Period End  07/14/2011   
Final Action  12/00/2012   
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

 
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