17 C.F.R. §242.100 - Preliminary note; definitions
| Cite as | 17 C.F.R. §242.100 |
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7 firm's commentaries
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Volcker Rule Copy - Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds
...to engage in a distribution of securities for or on behalf of an issuer or selling security holder.138 Consistent with current 133 17 CFR 242.100 et seq. 134 See proposed rule §§ __.4(a)(3), (4); 17 CFR 242.100(b). 135 17 CFR 242.100. 136 See Review of Antimanipulation Regulation of Securit......
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COVID-19 Coronavirus Business Impact: Repurchasing Equity and Debt: Potential Techniques and Pitfalls for BDCs and CEFs
...4 17 CFR 240. 13e-3; 17 CFR 240. 13e-4; 17 CFR 240. 14d-3 5 17 CFR 240. 13e-3; 17 CFR 240. 13e-4; 17 CFR 240. 14d-4 6 17 CFR 240. 13e-4; 17 CFR 242.100 7 Wellman v. Dickinson, 475 F.Supp. 783 (SDNY 1979). 8 15 U.S. Code § 80a–17; 15 U.S. Code § 80a–2 9 15 U.S. Code § 80a–23 10 15 U.S. Code ......
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A Users Guide To The Volcker Rule
...definition of "distribution" tracks in some respects the definition provided in Regulation M under the Securities Exchange Act of 1934, 17 CFR § 242.100 to105 but excludes the need to consider the "magnitude" of the offering. Thus, permitted underwriting activities include activities relate......
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Refresher: Regulation M
...the DTM essentially ticked off the points raised by counsel in the iPath Letter as conditions for meeting the exemptions. Footnotes 8 17 CFR §§242.100-105. 9 See FINRA SEC Regulation M-Related Notice Requirements under FINRA Rules Frequently Asked Questions ("FINRA Reg M FAQ") 10 FINRA Reg ......
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