17 CFR 230.701 - Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation

Cite as17 CFR 230.701
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60 practice notes
  • Exemptions To Facilitate Intrastate and Regional Securities Offerings
    • United States
    • Federal Register November 21, 2016
    • November 21, 2016
    ...paragraph (h) of Rule 147; Exempt from registration under Regulation A (17 CFR 230.251 et seq.); Exempt from registration under Rule 701 (17 CFR 230.701); Made pursuant to an employee benefit Exempt from registration under Regulation S (17 CFR 230.901 through 230.905); Exempt from registrat......
  • Economic Growth and Regulatory Paperwork Reduction Act of 1996 Amendments
    • United States
    • Federal Register March 14, 2016
    • March 14, 2016
    ...advisors, and family members, as does SEC Rule 701. --------------------------------------------------------------------------- \74\ 17 CFR 230.701. --------------------------------------------------------------------------- By amending Sec. 16.5 to include Federal savings associations, the......
  • Mindspirit, LLC v. Evalueserve Ltd., 15 Civ. 6065 (PGG)
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • September 30, 2018
    ...securities – including stock options – may be issued to a "consultant" as long as the consultant is a natural person. See 17 C.F.R. § 230.701(c) ; 15 U.S.C. § 77b(a)(1) (defining "security" to include "any ... option, or privilege on any security").Read together, the plain language of the G......
  • Csx Corp.. v. the Children's Inv. Fund Mgmt. (uk) Llp, Docket Nos. 08–2899–cv (L)
    • United States
    • U.S. Court of Appeals — Second Circuit
    • July 18, 2011
    ...Regulation S, 17 C.F.R. §§ 230.901–.904 n. 2 (exempting registration for offers and sales outside the United States), and Rule 701, 17 C.F.R. § 230.701 n. 5 (exempting from registration sales of securities pursuant to employment compensation plans). Rule 10b5–1(c) provides an affirmative de......
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4 cases
  • Mindspirit, LLC v. Evalueserve Ltd., 15 Civ. 6065 (PGG)
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • September 30, 2018
    ...securities – including stock options – may be issued to a "consultant" as long as the consultant is a natural person. See 17 C.F.R. § 230.701(c) ; 15 U.S.C. § 77b(a)(1) (defining "security" to include "any ... option, or privilege on any security").Read together, the plain language of the G......
  • Csx Corp.. v. the Children's Inv. Fund Mgmt. (uk) Llp, Docket Nos. 08–2899–cv (L)
    • United States
    • U.S. Court of Appeals — Second Circuit
    • July 18, 2011
    ...Regulation S, 17 C.F.R. §§ 230.901–.904 n. 2 (exempting registration for offers and sales outside the United States), and Rule 701, 17 C.F.R. § 230.701 n. 5 (exempting from registration sales of securities pursuant to employment compensation plans). Rule 10b5–1(c) provides an affirmative de......
  • Lampkin v. UBS Fin. Servs., Inc., No. 17-20608
    • United States
    • United States Courts of Appeals. United States Court of Appeals (5th Circuit)
    • May 24, 2019
    ...).39 In the Matter of Google, Inc. and David C. Drummond , SEC Admin. Proc. No. 3-11795, Rel. No. 8523 (Jan. 13, 2005).40 Id. at *2; 17 C.F.R. § 230.701(b)(1).41 Id.42 Id.43 In addition to Rule 701, the SEC considered whether the Google option grants qualified under Section 4(2), which exem......
  • Santelices v. Apttus Corp., Case No. 19-cv-07414-HSG
    • United States
    • United States District Courts. 9th Circuit. United States District Courts. 9th Circuit. Northern District of California
    • October 2, 2020
    ...employees with securities without incurring the obligations of public registration and reporting under federal securities laws. See 17 C.F.R. § 230.701. The Rule requires, inter alia, that any company issuing more than $10 million in stock options over a 12-month period provide detailed fin......
2 firm's commentaries
2 books & journal articles
  • Securities laws and NQDC
    • United States
    • Taxation and Funding of Nonqualified Deferred Compensation
    • January 1, 2012
    ...Deferred Compensation Arrangements, 4 (July 14, 1995). 65ABA Joint Committee Letter, supra note 35, at page 4 of attachment. 6617 CFR § 230.701(b)(1) (the exemption is not available to an issuer that is “subject to the reporting requirements of section 13 or 15(d) of the Securities Exchange......
  • STARTUP GOVERNANCE.
    • United States
    • University of Pennsylvania Law Review Vol. 168 Nbr. 1, December 2019
    • December 1, 2019
    ...21, 2018), https://www.sec.gov/comments/s7-18-18/s71818-4403356-175575.pdf [https://perma.cc/AVU2-P7F4] ("We believe that an update to 17 CFR 230.701 ("Rule 701") is necessary to reflect the evolving nature of how individuals earn (296) See, e.g., Cal. Corp. Code [section] 1601(a) (2019) ("......

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