Bad Actor Waiver - Securities & Forensic Lawyers

Regulation A+ Adds Two New Bad Actor Disqualification Triggers

The final Regulation A+ rules amend Rule 262 to include bad actor disqualification provisions as adopted under Rule 506(d) of Regulation D.  Consistent with the disqualification provisions of Rule 506(d), the final rules add two additional disqualification triggers… Read More

Bad Actor Waivers- Regulation A+ – Rule 506 – Going Public

On March 13, 2015, the Securities and Exchange Commission (SEC) provided guidance addressing waivers of disqualification for bad actors under Regulation A and Rules 505 and 506 of Regulation D of the Securities Act of 1933, as amended. A waiver… Read More