17 CFR 230.146 - Rules under section 18 of the Act
| Cite as | 17 CFR 230.146 |
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48 practice notes
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Part II
...use or the permitted manner of use of the information. \131\ We are using a similar definition as contained in Securities Act Rule 146 [17 CFR 230.146]. As we note above, for asset-backed securities offerings, the safe harbor is available to asset-backed issuers, depositors, affiliated depo......
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List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
...IA-2209 (Jan. 20, 2004) at that time. * * * * * Title: Covered Securities Pursuant to Section 18 of the Securities Act of 1933. Citation: 17 CFR 230.146. Authority: 15 U.S.C. 77r(b)(1)(B) and Description: The Commission amended a rule under Section 18 of the Securities Act of 1933 to design......
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Part II
...to use or the permitted manner of use of the information. \93\ We are using the same definition as contained in Securities Act Rule 146 [17 CFR 230.146]. Request for Is the definition of ``by or on behalf of an issuer'' clear? If not, why not? Should we provide more specificity limiting the......
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Securities:
Securities offerings reform; registration, communications, and offering processes; modification,
...to use or the permitted manner of use of the information. \93\ We are using the same definition as contained in Securities Act Rule 146 [17 CFR 230.146]. Request for Is the definition of ``by or on behalf of an issuer'' clear? If not, why not? Should we provide more specificity limiting the......
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26 cases
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Koehler v. Pulvers, Civ. No. 82-1076-E.
...5, 1981, respectively. 3 At trial, defendants also attempted to rely on the private offering exemption as elaborated by Rule 146, 17 C.F.R. § 230.146. Rule 146 requires that issuers have "reasonable grounds to believe" that offerees and purchasers either are capable of evaluating the invest......
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S.E.C. v. Murphy, Nos. 76-2299
...securities but relied on the private offering exemption of § 4(2) of the Securities Act, 15 U.S.C. § 77d(2) (1971), and on Rule 146, 17 C.F.R. § 230.146 (1979), which provides a "safe harbor" for private placements that meet certain specified Intertie took no steps to assure that the offeri......
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Pinter v. Dahl, No. 86-805
...the benefit of registration under the Securities Act, in reliance on Securities and Exchange Commission (SEC or Commission) Rule 146, 17 CFR § 230.146 (1982).3 In fact, the oil and gas interests involved in this suit were never registered with the Commission. Respondents' investment checks ......
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Campito v. McManus, Longe, Brockwehl, Inc., No. 75-CV-418.
...in the future prosecution of this lawsuit, attention is directed to 15 U.S.C. §§ 77c(a)(11) and 77d(2) together with 17 C.F.R. §§ 230.144, 230.146, and 230.147 (1978). In any event, the facts appear as Preliminarily, it should be noted with respect to the individual defendants named in this......
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1 books & journal articles
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The Antifraud Savings Clause of the National Securities Markets Improvement Act of 1996
...Moderate Capital', 31 Del. J. Corp. L. 77, 120 & n.200 (2006). Campbell reports that the Commission considered amending Rule 146, 17 C.F.R. § 230.146 (2005), to define a "qualified purchaser" as "any accredited investor." Id. at 120 n.200. NASAA, the powerful lobbying organization for s......