...(2) of the Securities Act of 1933, as amended (15 U.S.C. 77d(2)), or pursuant to Regulation D thereu...
... 8 of the Investment Company Act of 1940, 15 U.S.C. 80a-8. (d) Investment grade means a securit...
... pursuant to section 31(d) of the Act (15 U.S.C. 78ee(d)). (2) Billing period means, for a s...
We are adopting amendments to the accredited investor standards in our rules under the Securities Act of 1933 to implement the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Act requires the definitions of ``accredited investor'' in our Securities Act rules to exclude the value of a person's primary residence for purposes of determining whether the person qualifies as an ``accredited investor'' on the basis of having a net worth in excess of $1 million. This change to the net worth standard was effective upon enactment by operation of the Dodd-Frank Act, but it also requires us to revise our current Securities Act rules to conform to the new standard. We also are adopting technical amendments to Form D and a number of our rules to conform them to the ...
... amendments to Rule 144(a)(3)(viii),\1\ Rule 155(a),\2\ Rule 215,\3\ and Rule 501(a)(5) \4\ and 501...
... under section 4(2) of the Securities Act (15 U.S.C. 77d(2)) or ?? 230.144A or 230.501 through 2...
... in section 3(a)(12) of the Exchange Act (15 U.S.C. 78c(a)(12)); or. (2) Transactions of Rule 1...
...(2) of the Securities Act of 1933, as amended (15 U.S.C. 77d(2)), or pursuant to Regulation D thereu...
The Securities and Exchange Commission is publishing an agenda of its rulemaking actions pursuant to the Regulatory Flexibility Act (RFA) (Pub. L. 96-354, 94 Stat. 1164) (Sep. 19, 1980). Information in the agenda was accurate on September 16, 2011, the day on which the Commission's staff completed compilation of the data. To the extent possible, rulemaking actions by the Commission since that date have been reflected in the agenda. The Commission invites questions and public comment on the agenda and on the individual agenda entries. The Commission is now printing in the Federal Register, along with our preamble, only those agenda entries for which we have indicated that preparation of a Regulatory Flexibility Act analysis is required. The Commission's complete RFA agenda will be availa...
...612............ Rule 15c-100: Schedule 15C 3235-AJ13. 613.............
... shall establish by rule or regulation under 15 U.S.C. 77ddd), the indenture must provide for the ...
... under section 4(2) of the Securities Act (15 U.S.C. 77d(2)) or ?? 230.144A or 230.501 through 2...
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