RegAlert2019-03-11
Added · Updated
SEC Order Granting Waivers of Disqualification Provisions for Investment Advisers and Issuers in Share Class Selection Disclosure Initiative
The Securities and Exchange Commission grants waivers from disqualification provisions under Regulations A, D, E, and Crowdfunding, as well as waivers from ineligible issuer status under Rule 405, to specific investment advisers and public issuers participating in the Share Class Selection Disclosure Initiative. These waivers apply to the entities listed in Appendices A and B, provided they comply with the terms of their respective settlement orders. The Commission reserves the right to revoke or further condition these waivers if the advisers fail to comply with their orders, and explicitly states that this order cannot be relied upon by any entity seeking a future waiver.
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UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 10612 / March 11, 2019
ADMINISTRATIVE PROCEEDING
File Nos. 3-19026, 3-19027, 3-19028, 3-19029, 3-19030, 3-19031, 3-19032, 3-19033, 3-19034, 3-19035, 3-19036, 3-19037, 3-19038, 3-19039, 3-19040, 3-19041, 3-19042, 3-19043, 3-19044, 3-19045, 3-19046, 3-19047, 3-19048, 3-19049, 3-19050, 3-19051, 3-19052, 3-19053, 3-19054, 3-19055, 3-19056, 3-19057, 3-19058, 3-19059, 3-19060, 3-19061, 3-19062, 3-19063, 3-19064, 3-19065, 3-19066, 3-19067, 3-19068, 3-19069, 3-19070, 3-19071, 3-19072, 3-19073, 3-19074, 3-19075, 3-19076, 3-19077, 3-19078, 3-19079, 3-19080, 3-19081, 3-19082, 3-19083, 3-19084, 3-19085, 3-19086, 3-19087, 3-19088, 3-19089, 3-19090, 3-19091, 3-19092, 3-19093, 3-19094, 3-19095, 3-19096, 3-19097, 3-19098, 3-19099, 3-19100, 3-19101, 3-19102 In the Matter of
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SEC published 7 documents in the last 30 days. We email you each new one the day it's published.