Definitions and terms used in Regulation D
| Currency | Current through May 31, 2023 |
| Citation | 17 C.F.R. §230.501 |
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5 cases
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Peo v. Bassford
...law. 17 C.F.R. ch. II, pt. 230, Reg. D (2011) (Regulation D), governs the limited offer and sale of securities without registration. 17 C.F.R. § 230.501(a)(6) (2011), defines an “accredited investor" for the purpose of Regulation D, as an investor who comes within any of the following categ......
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Hale v. Macleod
...(2021) provides a "safe harbor" for securities offered under 15 U.S.C. § 77d(a)(2) if the security offering complies with 17 C.F.R. §§ 230.501 (2020) and 230.502 (2021).6 17 C.F.R. § 230.501 (2020) provides a safe harbor to private securities offerings to accredited investors, including "an......
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Wyatt v. Burns
...with the securities and exchange commission under section 3(b) or 4(2) of the federal ‘Securities Act of 1933’”. Regulation D, 17 C.F.R. §§ 230.501 through 230.508, qualifies as such an exemption. In contrast to the state and federal private-offering exemption discussed above, Regulation D ......
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Sec. & Exch. Comm'n v. The Movie Studio, Inc.
...pursuant to Section 4(2)”). 1. Rule 506(b) To come within Rule 506(b)'s exemption, an issuer must satisfy the terms and conditions of 17 C.F.R. §§ 230.501 and 230.502, as well as the specific conditions set forth in § 230.506(b)(2)(i) and (b)(2)(ii). See § 230.506(b). Among other things, “t......
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14 firm's commentaries
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The yellow brick road for consumer tokens: The path to SEC and CFTC compliance
...from registration, such as in a private placement that is limited to participants who are “accredited investors,” as defi ned in 17 C.F.R. § 230.501, either under the more traditional style private placement of Regulation D, Rule 506(b), or the crowdfunding GLI – Blockchain & Cryptocurr......
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Using Private Placement Insurance Products to Achieve Tax Efficiency for High Net Worth Investors
...accumulation test tends to be used more in COLI transactions." This actuarial test provides for a lower initial death benefit " See 17 CFR § 230.501. 11 See id. " Investment Company Act of 1940 § 3(c)(I). " Investment Company Act of 1940 § 3(c)(7). " SEC Release Nos. 33-9287; IA·3341; IC·29......
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Limiting Securities Litigation Risks in EB-5 Offerings: What Regional Centers and Issuers Need to Know
...and Rule 10b-5. The registration exemptions available under Section 4 of the Securities Act (15 U.S.C. § 77d) and SEC Regulation D (17 CFR § 230.501 et seq.), for example, do not shield exempt securities from claims under Section 17(a), Section 10(b), and Rule What do Section 17(a), Section......
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"CFTC Curtails Commodity Pool Operator Exemptions for Registered Investment Companies and Private Funds and Commodity Trading Advisor Exemptions for Their Advisers"
...55 As explained above, the swap margin requirements are still unknown. See infra n. 17. 56 See infra n. 19 57 See infra n. 21. 58 17 C.F.R. § 230.501. 59 17 C.F.R. § 270.3c-5. 60 These people are listed in CFTC Rule 4.7(a)(2)(viii)(A). 17 C.F.R. § 4.7(a)(2)(viii)(A).12 As Rule 4.13(a)(4) wi......
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23 books & journal articles
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§ 17.2 The Securities Act of 1933
...its purpose. In March 1982, in an effort at further simplification, the SEC adopted a series of six rules known as Regulation D. See 17 CFR §§ 230.501-230.508. Regulation D replaced SEC Rule 146 and also replaced 17 CFR section 230.240 and section 230.242, which had been adopted pursuant to......
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§ 34.2 Incorporating the Closely Held Corporation
...230.500-230.508). In general, accredited investors are officers and directors of the issuer, institutions, and wealthy individuals. See 17 CFR § 230.501. Regulation D also exempts certain sales of up to $1 million to any number of investors without regard to their status as accredited inves......
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Table of Statutes
...17 C.F.R. §230.131: 16.4(4)(a) 17 C.F.R. §230.131(b)(2): 16.4(4)(a) 17 C.F.R. §230.147: 15.4(2) 17 C.F.R.230.251-230.263: 15.4(1) 17 C.F.R. §230.501(a): 15.4(2) 17 C.F.R. §230.501(c): 15.4(2) 17 C.F.R. §230.501(e)(1): 15.4(2) 17 C.F.R.230.501-230.503: 15.4(2) 17 C.F.R.230.501-230.508: 15.4(......
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§28.5 - Exemptions From Securities Registration Under Federal Law
...that private transactions in the partnership and LLC area be offered and sold pursuant to the terms and provisions of Regulation D, 17 C.F.R. §§230.501 230.508. See §28.5(2), below. (2) Regulation D generally Regulation D, which provides for an exemption from the registration provisions of ......
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