Definitions and terms used in Regulation D

CurrencyCurrent through May 31, 2023
Citation 17 C.F.R. §230.501
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5 cases
  • Peo v. Bassford
    • United States
    • Colorado Court of Appeals
    • August 25, 2011
    ...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......
  • Hale v. Macleod
    • United States
    • North Carolina Court of Appeals
    • June 18, 2024
    ...(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......
  • Wyatt v. Burns
    • United States
    • Colorado Court of Appeals
    • August 26, 2010
    ...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 ......
  • Sec. & Exch. Comm'n v. The Movie Studio, Inc.
    • United States
    • U.S. District Court — Southern District of Florida
    • July 26, 2024
    ...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
23 books & journal articles
  • § 17.2 The Securities Act of 1933
    • United States
    • Advising Oregon Businesses, Vols. 1-2 (OSBar) Chapter 17 Private Placement of Securities
    • Invalid date
    ...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......
  • § 34.2 Incorporating the Closely Held Corporation
    • United States
    • Advising Oregon Businesses, Vols. 1-2 (OSBar) Chapter 34 Special Problems of Closely Held Businesses
    • Invalid date
    ...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......
  • Table of Statutes
    • United States
    • Washington State Bar Association Washington Real Property Deskbook Series Volume 4: Causes of Action, Taxation, Regulation (WSBA) Table of Statutes
    • Invalid date
    ...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(......
  • §28.5 - Exemptions From Securities Registration Under Federal Law
    • United States
    • Washington State Bar Association Washington Partnership and Limited Liability Company Deskbook (WSBA) Chapter 28
    • Invalid date
    ...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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