Bad Actor Disqualifications as to Securities Offerings

Overview

A number of statutes rules under the Securities Act "disqualify" a firm or individual from participation in certain types of securities transactions if that firm or individual has been found to have engaged in a bad act. This Focus Page focus on prohibitions as to securities offerings, while a separate Focus Page deals with "Statutory Disqualification"; i.e., individuals who are not permitted to be registered or to be associated with a registered entity.

As a general matter, these disqualification provisions are extremely overbroad; accordingly it is sometimes possible to obtain a waiver from these negative consequences. See the Focus Page on Waivers.

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Bad Actor Disqualifications as to Securities Offerings