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With a state-by-state analysis, Limited Offering Exemptions: Regulation D helps you keep abreast of the myriad regulations, key definitions, and trends relating to Regulation D. It includes a collection of charts and comparisons to help you evaluate the fast-changing regulatory patterns for securities offerings, determine exemptions, and coordinate registration procedures as required by the SEC and NASAA. Coverage includes:
• Rule 501: Common Definitions
• Rule 502: General Conditions
• Rule 503: Filing of Notice of Sales
• Rule 504: Exemption for Sales Not Exceeding $1 Million
• Rule 505: Exemption for Limited Offers and Sales Not Exceeding $5 Million
• Rule 506: Exemption for Limited Offers and Sales Without Regard to Dollar Amount of Offering
• Rules 507 and 508: Violations
• Coordination and Compatibility: A Survey of State Blue Sky Laws
Enter replacement volume, chapter and page numbers separated by commas. For example: Volume 2, Chapter 5, Pages 7, 12-19. Please limit requests to 25 pages or less. If you are located outside the United States or for more than 25 pages please contact Customer Service 1-800-328-4880.
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