X

SEC Updates Compliance and Disclosure Interpretations Relating to Securities Act Rules 134, 165 and 433

The SEC Division of Corporation Finance updated its Compliance and Disclosure Interpretations ("C&DIs"). Specifically, the Division added:

  • Question 110.01, to discuss communications made in reliance on Securities Act Rule 134 ("Communications Not Deemed a Prospectus");
  • Question 164.02, to discuss electronic communications relying on the exemption in Rule 165 ("Offers Made in Connection with a Business Combination Transaction"); and
  • Question 232.15, to discuss free writing prospectuses distributed in reliance on Rule 433 ("Conditions to Permissible Post-Filing Free Writing Prospectuses").

See: SEC Compliance and Disclosure Interpretations.

Tags

Regulated Activities
Distribution Procedures
Sub-Activity
Prospectus Rule 134, Prospectus Rule 433 and 164 (FWP)
Regulated Entities
Issuers of Securities
Sub-Entity
SEC-Registered Issuers
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
SEC