SEC Order Granting Waivers of Disqualification Provisions for Certain Broker-Dealers and Investment Advisers

The Securities and Exchange Commission grants waivers of disqualification provisions under Regulations A, D, E, and Crowdfunding to specific broker-dealers and investment advisers. These waivers apply to entities that participated in the Broker-Dealer Off-Channel Communications Initiative and agreed to standardized settlement terms for non-scienter based record-keeping violations. The waivers remain subject to the firms' compliance with the terms of their respective Record-Keeping Orders, and the Commission reserves the right to revoke or further condition the waivers if those terms are not met.

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UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 11109 / September 27, 2022
In the Matter of

Certain
Broker-Dealer
Practices,

Respondents.

ORDER UNDER RULES 262(b)(2),
506(d)(2)(ii), AND 602(e) OF THE
SECURITIES ACT OF 1933 AND RULE
503(b)(2) OF REGULATION
CROWDFUNDING GRANTING
WAIVERS OF THE DISQUALIFICATION
PROVISIONS OF RULES 262(a)(4),
506(d)(1)(iv), AND 602(c)(3) OF THE
SECURITIES ACT OF 1933 AND RULE
503(a)(4)(ii) OF REGULATION
CROWDFUNDING

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Source: Securities and Exchange Commission — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works