17 CFR 230.501 - Definitions and terms used in Regulation D
| Cite as | 17 CFR 230.501 |
-
- This document is available in original version only for vLex customers
View this document and try vLex for 7 days - TRY VLEX
- This document is available in original version only for vLex customers
363 practice notes
-
Regulatory Capital Rules: Regulatory Capital, Implementation of Tier 1/Tier 2 Framework
...at least $250,000 of the stock and meets the definition of ``accredited investor'' or ``qualified institutional buyer'' contained in 17 CFR 230.501 and 230.144A, a disclosure statement submitted pursuant to this section is deemed reviewed and cleared by the FCA and an institution may treat ......
-
Part II
...to evade'' language as proposed.\136\ \135\ See, e.g., letters from ABA and William J. Williams, Jr. \136\ See, e.g., Regulation D [17 CFR 230.501 et seq.] and Rule 155 [17 CFR (B) Regularly Released Information (1) Regularly Released Condition As we discussed in the Proposing Release, the ......
-
Securities, etc:
Executive and director compensation, etc.; disclosure requirements,
...available on a non-discriminatory basis to all employees. \210\ ``Accredited investor'' is defined in Securities Act Rule 501(a)[17 CFR 230.501(a)] for purposes of Regulation D [17 CFR Applying the concepts that we outline above, examples of items requiring disclosure as perquisites or pers......
-
Part III
...pt. 2 at 8-9 (1940). \15\ See e.g., sections 4(2) and 4(6) of the Securities Act of 1933 [15 U.S.C. 77d(2) and 77d(6)] and Regulation D [17 CFR 230.501 et seq.] and rule 144A [17 CFR 230.144A]; SEC v. Ralston Purina Co., 346 U.S. 119 \16\ Based on information filed with us on Form ADV as of......
Request a trial to view additional results
154 cases
-
Piazza v. Kirkbride, No. COA 15–48.
...person whose individual net worth, or joint net worth with that person's spouse, at the time of his purchase exceeds $1,000,000.00. 17 C.F.R. § 230.501(a). The Act further defines an "accredited investor" as any person who had an individual income in excess of $200,000.00 or a joint income ......
-
Connecticut Nat. Bank v. Giacomi, No. 15089
...a person with "a net worth ... exceeding $1,000,000 or with an income exceeding $200,000 a year in each of the two most recent years. 17 C.F.R. § 230.501(a)(5) & (6)." Also, Great Rings had to show that nonaccredited investors had "such knowledge and experience in financial and business mat......
-
In re Integrated Resources Real Estate Sec. Lit., MDL No. 897
...the Plaintiffs had to qualify as "accredited investors" to participate in this offering pursuant to Reg. D. See 1933 Act, Rule 501(a), 17 C.F.R. 230.501(a). 21 The analysis of Fillmore/Greene's also applies to Fillmore/Enviro because the securities fraud allegations are identical and the in......
-
In re Fisker Auto. Holdings, Inc. S'holder Litig., Civ. No. 13–2100–SLR
...defines "accredited investor," which are more sophisticated investors, such as banks, companies and high net worth individuals. 17 C.F.R. § 230.501(a).23 Section 15 of the Securities Act provides for joint and several liability on the part of one who controls a violator of § 12. Accordingly......
Request a trial to view additional results
53 firm's commentaries
-
Fiduciary Duties In Oil Patch Deals
...III, Sophisticated Investors Under the Federal Securities Laws, 1988 DUKE L. J. 1081, 1120-24 (1988). SEC Regulation D (“Reg D”), 17 C.F.R. 230.501-506 (2007), became effective April 15, 1982 and is now the controlling SEC regulation for determining whether an offering of securities is exem......
-
Choice of Entity Decision Tree
...III, Sophisticated Investors Under the Federal Securities Laws, 1988 DUKE L. J. 1081, 1120-24 (1988). SEC Regulation D (“Reg D”), 17 C.F.R. 230.501-506 (2007), became effective April 15, 1982 and is now the controlling SEC regulation for determining whether an offering of securities is exem......
-
Life Cycle Of A Company – Choice Of Entity And Key Contents Of Organization Documents
...III, Sophisticated Investors Under the Federal Securities Laws, 1988 DUKE L. J. 1081, 1120-24 (1988). SEC Regulation D (“Reg D”), 17 C.F.R. 230.501-506 (2007), became effective April 15, 1982 and is now the controlling SEC regulation for determining whether an offering of securities is exem......
-
Choice of Entity Decision Tree: Choice and Acquisition of Entities in Texas
...III, Sophisticated Investors Under the Federal Securities Laws, 1988 DUKE L. J. 1081, 1120-24 (1988). SEC Regulation D (“Reg D”), 17 C.F.R. 230.501-506 (2007), became effective April 15, 1982 and is now the controlling SEC regulation for determining whether an offering of securities is exem......
Request a trial to view additional results
11 books & journal articles
-
The Ralston-Landreth-Gustafson Harmony: A Security!
...The Suitability Doctrine , 213 N.Y. L.J. 3(1995) (stating that Gustafson held section 12(2) inapplicable to private placements). 207 17 C.F.R. §§ 230.501–230.508 (2011). 208 See generally Eamonn K. Moran, Wall Street Meets Main Street: Understanding the Financial Crisis , 13 N.C. BANKING IN......
-
The Ralston-Landreth-Gustafson Harmony: A Security!
...The Suitability Doctrine , 213 N.Y. L.J. 3(1995) (stating that Gustafson held section 12(2) inapplicable to private placements). 207 17 C.F.R. §§ 230.501–230.508 (2011). 208 See generally Eamonn K. Moran, Wall Street Meets Main Street: Understanding the Financial Crisis , 13 N.C. BANKING IN......
-
The Lesson of Goldstein v. SEC: If at First You do Not Succeed, Regulate Again?
...comply with regulations in 17 C.F.R. § 230.506 (2008), which, in turn, references requirements for accredited investors, defined in 17 C.F.R. § 230.501(a) (2008), id. § 230.506(b)(1), and id. § 230.506(b)(2)(i) (“[T]hat there are no more than 35 purchasers of securities from the issuer.”). ......
-
Wealth and Knowledge: Strengthening the Economy by Expanding the Qualified Purchaser 'Sophisticated' Standard Under the Investment Company Act of 1940
...per year with a spouse, for the past two years; or (2) have a net worth of $1 million individually or jointly with a spouse. See 17 C.F.R. § 230.501 (5)–(6) (2016). Although banks, businesses, and organizations may also qualify as Accredited Investors, this Note will focus on natural person......
Request a trial to view additional results
27 provisions
-
Chapter 65, HB 170 – AK SECURITIES ACT; PENALTIES; CRT. RULES
...the issuer may not accept more than $10,000 from any single purchaser unless the purchaser is an accredited investor as defined by 17 C.F.R. 230.501;(5) the issuer reasonably believes that all purchasers of securities are purchasing for investment and not for sale in connection with a distr......
-
Chapter 38, SB 126 – SMALL SECURITY OFFERINGS
...accept more than $10,000 from a single purchaser during a 12-month period unless the purchaser is an accredited investor as defined by 17 C.F.R. 230.501;(5) the issuer reasonably believes that all purchasers of securities are purchasing for investment and not for sale in connection with a d......
-
Chapter 159, SB 662 – Maintenance of the codes.
...is accepted from, the purchaser,a written offering disclosure statement that shall meet thedisclosure requirements of Regulation D (17 C.F.R. 230.501 et seq.),and any other information as may be prescribed by rule of thecommissioner, provided that the issuer shall not be obligatedpursuant t......
-
Chapter 46, HB 308 – ALASKA SECURITIES ACT EXEMPTIONS
...sales of securities are made only to persons who are or the issuer reasonably believes are accredited investors as defined in 17 C.F.R. 230.501(a), as that regulation exists on or after October 1, 2013 [1999];(B) the issuer reasonably believes that all purchasers are purchasing for investme......
Request a trial to view additional results