17 CFR 230.251 - Scope of exemption

Cite as17 CFR 230.251
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88 practice notes
  • Securities and Exchange Commission,
    • United States
    • Federal Register May 24, 2002
    • May 24, 2002
    ...registered on an MJDS Securities Act registration statement; a Canadian issuer filing an offering statement under Regulation A [17 CFR 230.251-230.263] or a Form SB-2 registration statement [17 CFR 239.10]; and a foreign issuer or other non-U.S. person filing Form CB in connection with a te......
  • Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act
    • United States
    • Federal Register January 23, 2014
    • January 23, 2014
    ...to amend Rules 251 through 263 \1\ under Regulation A.\2\ --------------------------------------------------------------------------- \1\ 17 CFR 230.251 through \2\ 17 CFR 230.251 through 230.263. --------------------------------------------------------------------------- We also propose to......
  • Crowdfunding
    • United States
    • Federal Register November 05, 2013
    • November 5, 2013
    ...\236\ See Coan Letter; Liles Letter 1; Vim Funding Letter; NASAA Letter. \237\ 17 CFR 230.251 et \238\ See Commonwealth of Massachusetts Letter. \239\ CFIRA Letter 2. \240\ The Motley Fool Letter. \241\ See 2012 SEC Government-Business Forum, note 29. \242\ See ABA Letter 1. \243\ See Ohio ......
  • Crowdfunding
    • United States
    • Federal Register November 16, 2015
    • November 16, 2015
    ...U.S. GAAP, for each of the years presented. \254\ See Instruction 1 to Rule 201(r) of Regulation Crowdfunding. \255\ 17 CFR 239.900 \256\ 17 CFR 230.251 through As suggested by one commenter,\257\ in a change from the proposal, we are adopting a definition for ``member of the family'' in th......
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24 cases
  • United States v. McGuire, No. 402
    • United States
    • United States Courts of Appeals. United States Court of Appeals (2nd Circuit)
    • July 20, 1967
    ...indeed, most of them are completely frivolous. Affirmed. --------Notes: 1 Regulation A insofar as pertinent here is found in 17 C.F.R. §§ 230.251 et seq. The Securities Act of 1933 § 77e. Prohibitions relating to interstate commerce and the mails (a) Unless a registration statement is in ef......
  • Goodman v. Kennedy
    • United States
    • United States State Supreme Court (California)
    • November 29, 1976
    ...Act of 1933 (the Act) theretofore granted under Regulation A of the Securities and Exchange Commission (SEC). (See 15 U.S.C. § 77c(b); 17 C.F.R. §§ 230.251--230.263.) Plaintiffs also allege that defendant had a telephone conversation concerning the proposed stock purchase with an attorney r......
  • Securities and Exchange Commission v. Cooper, No. 73 Civ. 2508 (EW).
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • August 7, 1975
    ...when Amswiss was tardy in paying her for her stock after repurchasing it, D'Onofrio wrote Woo to find out what the problem was. 8 See 17 C.F.R. § 230.251 et seq. 9 § 5, 15 U.S.C. § 77e. 10 Five of these individuals had accounts at Amswiss; D'Onofrio had a limited power-of-attorney over two ......
  • Koss v. SECURITIES AND EXCHANGE COM'N OF UNITED STATES, No. 73 Civ. 2619.
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • October 17, 1973
    ...Two proposed issuers were subsequently furnished similar comments orally. Id. 4 Regulation A consists of Commission Rules 251 to 263, 17 C.F.R. § 230.251-63 5 Affidavit of Theodore Koss, June 8, 1973, at 3-4. 6 The staff's hortatory language, specifically, was "please make the appropriate c......
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14 firm's commentaries
8 books & journal articles
  • Down-Sizing the 'Little Guy' Myth in Legal Definitions
    • United States
    • Iowa Law Review Nbr. 98-3, March 2013
    • March 1, 2013
    ...Securities Act of 1933, Pub. L. No. 73-22, § 3(b), 48 Stat. 74, 76–77 (codified as amended at 15 U.S.C.A. § 77c(b)(1) (West 2012)); 17 C.F.R. § 230.251 (describing that a small-business offering is exempt from Regulation A filings registration if it does not exceed a dollar limitation presc......
  • Just Do It! Specific Rulemaking on Materiality Guidance in Insider Trading
    • United States
    • Louisiana Law Review Nbr. 72-4, July 2012
    • October 1, 2012
    ...17 C.F.R. § 230.144(d)(1)(i). 134 . 17 C.F.R. § 230.147(b)(2) (referencing Preliminary Note 3). 135 . 17 C.F.R. § 230.502(a). 136 . 17 C.F.R. § 230.251(c)(2)(v). 2012] JUST DO IT! 1035 securities). The materiality component of U.S. insider trading regulation functions much the same way—as a......
  • New kinds of capital
    • United States
    • Practicing Law in the Sharing Economy: Helping People Build Cooperatives, Social Enterprise, and Local Sustainable Economies
    • August 1, 2012
    ...Territory or possession thereof, or the District of Columbia, with its principal place of business in the United States or Canada; 73. 17 C.F.R. §§ 230.251 et seq. 74. What does the term “public offering” mean? It does not have a precise legal definition but it is generally used to refer to......
  • Investor Protection: State And Federal Securities Regulation
    • United States
    • Corporate Counsel Guides: Corporation Law
    • July 3, 2012
    ...74. See, e.g., Doran v. Petrol. Mgmt. Corp., 545 F.2d 893 (5th Cir. 1977). 75. 15 U.S.C.A. § 77b(a)(15) (2009). 76. Rules 251 to 263; 17 C.F.R. §§ 230.251 to 230.263 (2009). 77. For example, it is unavailable where the issuer, its predecessors, or afi liates are subject to a pending SEC pro......
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