By Simon Riveles and Simon Cooke On July 10, 2013, the U.S. Securities and Exchange Commission (“SEC”) adopted amendments to Rule 506 of the Securities Act of 1933 to disqualify securities’ offerings relying on the Rule 506 exemption that involve certain “bad actors”. These amendments came into effect on September 23, 2013. Please refer to our earlier blog for background on these amendments. On December …
Navigation - About Us
- Practice Areas
- Attorneys
- Clients
- White Papers
- The Fund Formation Process
- Forming a Hedge Fund: An Overview
- Lifting the Ban on General Solicitation by Hedge Funds Under the Jobs Act
- Overview of Investment Funds in the British Virgin Islands
- White Paper: FACTA Frequently Asked Questions – The Basics
- Commodity Pool Operator Registration for Hedge Fund Managers: Frequently Asked Questions
- Launching A Hedge Fund? Is Investment Adviser Registration Required?
- Adoption of NASAA’s Model “Private Fund Manager”
Exemption to State Investment Adviser Registration - FACTA Frequently Asked Questions – The Basics
- Going Private Transactions
- Blog
- Contact Us
- Search
Category Archive
Below you'll find a list of all posts that have been categorized as “506 Disqualification”