United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2015_register executive 2018-02-21 article Part II Rules and Regulations D09002ee1c7f7b0af D09002ee1c7f7b183 United States Securities and Exchange Commission originator org United States Government Agency or Subagency We are adopting amendments to Regulation A and other rules and forms to implement Section 401 of the Jumpstart Our Business Startups (JOBS) Act. Section 401 of the JOBS Act added Section 3(b)(2) to the Securities Act of 1933, which directs the Commission to adopt rules exempting from the registration requirements of the Securities Act offerings of up to $50 million of securities annually. The final rules include issuer eligibility requirements, content and filing requirements for offering statements, and ongoing reporting requirements for issuers in Regulation A offerings. 80 FR 21806 https://www.govinfo.gov/app/details/FR-2015-04-20/2015-07305 2015-07305 fr20ap15-9 RIN 3235-AL39 8011-01-P Release Nos. 33-9741 34-74578 39-2501 File No. S7-11-13 https://www.govinfo.gov/app/details/FR-2015-04-20/2015-07305 https://www.govinfo.gov/content/pkg/FR-2015-04-20/html/2015-07305.htm https://www.govinfo.gov/content/pkg/FR-2015-04-20/pdf/2015-07305.pdf Administrative Practice and Procedure Authority Delegations (Government Agencies) Organization and Functions (Government Agencies) Reporting and Recordkeeping Requirements Securities 120 p. 21806 21925 80 FR 21806 Title 17 Part 200 17 CFR Part 200 Title 17 Part 230 17 CFR Part 230 Title 17 Part 232 17 CFR Part 232 Title 17 Part 239 17 CFR Part 239 Title 17 Part 240 17 CFR Part 240 Title 17 Part 249 17 CFR Part 249 Title 17 Part 260 17 CFR Part 260 RIN 3235-AL39 Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A); Federal Register Vol. 80, Issue RULE 2015-07305 II SECURITIES AND EXCHANGE COMMISSION 2015-06-19 Release Nos. 33-9741 34-74578 39-2501 File No. S7-11-13 8011-01-P 2015-07305 Final rules.

We are adopting amendments to Regulation A and other rules and forms to implement Section 401 of the Jumpstart Our Business Startups (JOBS) Act. Section 401 of the JOBS Act added Section 3(b)(2) to the Securities Act of 1933, which directs the Commission to adopt rules exempting from the registration requirements of the Securities Act offerings of up to $50 million of securities annually. The final rules include issuer eligibility requirements, content and filing requirements for offering statements, and ongoing reporting requirements for issuers in Regulation A offerings.

The final rules and form amendments are effective on June 19, 2015. Zachary O. Fallon, Special Counsel; Office of Small Business Policy, Division of Corporation Finance, at (202) 551-3460; or Shehzad K. Niazi, Special Counsel; Office of Rulemaking, Division of Corporation Finance, at (202) 551-3430, U.S. Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-3628. Administrative Practice and Procedure Authority Delegations (Government Agencies) Organization and Functions (Government Agencies) Reporting and Recordkeeping Requirements Securities Small and Additional Issues Exemptions under the Securities Act , http://dfi.wa.gov/sd/securitiespolicy.htm#ps-16 http://papers.ssrn.com/sol3/papers.cfm?abstract_id=2459591 http://papers.ssrn.com/sol3/papers.cfm?abstract_id=2465927 http://papers.ssrn.com/sol3/papers.cfm?abstract_id=2492241 http://papers.ssrn.com/sol3/papers.cfm?abstract_id=2512605 http://pub.aicpa.org/codeofconduct/ethicsresources/et-cod.pdf http://ssrn.com/abstract_id=1659926 http://www.equitycapitalformationtaskforce.com/ http://www.fasb.org/cs/ContentServer?c=Document_C&pagename=FASB%2FDocument_C%2FDocumentPage&cid=1176163703583 http://www.fasb.org/cs/ContentServer?c=Page&pagename=FASB%2FPage%2FSectionPage&cid=1351027243391 http://www.gao.gov/assets/600/592113.pdf http://www.nasaa.org/industry-resources/corporation-finance/coordinated-review/regulation-a-offerings/ http://www.nasaa.org/wp-content/uploads/2011/08/2014-Enforcement-Report-on-2013-Data_110414.pdf http://www.nasaa.org/wp-content/uploads/2015/03/Coordinated-Review-Chart.pdf http://www.sec.gov/comments/jobs-title-i/general/general-207.pdf http://www.sec.gov/comments/jobs-title-iv/jobs-title-iv.shtml http://www.sec.gov/comments/s7-09-13/s70913-96.pdf http://www.sec.gov/comments/s7-11-13/s71113.shtml http://www.sec.gov/divisions/corpfin/cffinancialreportingmanual.pdf#topic6 http://www.sec.gov/divisions/corpfin/internatl/nonpublicsubmissions.htm http://www.sec.gov/divisions/riskfin/whitepapers/dera-unregistered-offerings-reg-d.pdf http://www.sec.gov/info/smallbus/acsec.shtml http://www.sec.gov/info/smallbus/acsec/acsec-recommendation-032113-smaller-public-co-ltr.pdf http://www.sec.gov/info/smallbus/acsec/rebuilding_the_ipo_on-ramp.pdf http://www.sec.gov/info/smallbus/gbfor32.pdf http://www.sec.gov/info/smallbus/sbforum.shtml http://www.sec.gov/rules/proposed/2013/33-9497.pdf http://www.sec.gov/spotlight/jobsactcomments.shtml https://listingcenter.nasdaq.com/assets/continuedguide.pdf https://listingcenter.nasdaq.com/assets/initialguide.pdf https://www.efdnasaa.org https://www.nasdaqprivatemarket.com/market/overview https://www.nyse.com/get-started/reference https://www.nyse.com/publicdocs/nyse/listing/NYSE%20_Initial_Listing_Standards_Summary.pdf www.investor.gov Vol. 80, no. 75 Office of the Federal Register, National Archives and Records Administration 2015-04-20 continuing daily deposited born digital 457 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2015-04-20 P0b002ee19884b995 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr20ap15 https://www.govinfo.gov/app/details/FR-2015-04-20 https://www.govinfo.gov/content/pkg/FR-2015-04-20/pdf/FR-2015-04-20.pdf https://www.govinfo.gov/content/pkg/FR-2015-04-20/xml/FR-2015-04-20.xml fdlp 21639 22086 DGPO 2018-02-21 2024-06-02 FR-2015-04-20 machine generated eng FR FR-2015-04-20 80 75