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Securities Regulation and Corporate Governance Monitor

Archives for November 2013

SEC Corp Fin Staff Issues General Solicitation Interpretations Under the JOBS Act

| Posted by James J. Moloney; Andrew L. Fabens Topic(s): JOBS Act; Securities Regulation

On November 13, 2013, the Staff of the SEC’s Division of Corporation Finance issued new Compliance and Disclosure Interpretations (C&DIs) providing guidance on recent rule amendments lifting the ban on general solicitation in securities offerings made pursuant to Rule 506(c) of Regulation D under the Securities Act of 1933 (Securities Act) and Rule 144A under the Securities Act, as mandated by the Jumpstart Our Business Startups Act (JOBS Act). 

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