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SEC RIN: 3235-AL34 Publication ID: Spring 2013 
Title: Elimination of Prohibition on General Solicitation in Rule 506 and Rule 144A Offerings 
Abstract: The Commission proposed rules to eliminate the prohibition against general solicitation and general advertising in securities offerings made pursuant to Rule 506 of Regulation D under the Securities Act and Rule 144A under the Securities Act, as mandated by section 201(a) of the JOBS 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 77a et seq 
Legal Deadline:
Action Source Description Date
NPRM  Statutory    09/00/2012 
Timetable:
Action Date FR Cite
NPRM  09/06/2012  77 FR 54469 
NPRM Comment Period End  10/05/2012   
Final Action  07/00/2013   
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: sec.gov/rules/proposed/2012/33-9354/pdf  
RIN Data Printed in the FR: Yes 
Agency Contact:
Ted Yu
Division of Corporation Finance
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3500

Charles Kwon
Division of Corporation Finance
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3500

 
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