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SEC RIN: 3235-AK97 Publication ID: Spring 2011 
Title: ●Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings 
Abstract: The Commission has acted to implement section 926 of the Dodd-Frank Act by proposing rules to disqualify securities offerings involving certain "bad actors" from eligibility for the exemptions under Rule 506 of Regulation D. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed 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  07/00/2011    
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