May 6, 2016

SEC Issues No-Action Letter on "Successor" Entity under SEA Rules

The SEC Division of Corporate Finance issued no-action relief in a matter involving whether a new entity qualified as a successor organization under Securities Exchange Act 12b and 12g rules.

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SEC No-Action Letter
Incoming Letter

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SEA Rule 12g-3: Registration of securities of successor issuers under section 12(b) or 12(g).
SEA Rule 12b-2: Definitions.
SA Rule 414: Registration by certain successor issuers.
SA Rule 174: Delivery of prospectus by dealers; exemptions under section 4(3) of the Act.
SA Section 4 [15 USC 77d] Exempted transactions

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SEC Issues No-Action Letter on "Successor" Entity under SEA Rules

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