17 C.F.R. § 230.256
Definition of “qualified purchaser”
For purposes of Section 18(b)(3) of the Securities Act [15 U.S.C. 77r(b)(3)], a “qualified purchaser” means any person to whom securities are offered or sold pursuant to a Tier 2 offering of this Regulation A.
Notes of Decisions
Cited in 8
cases, 1973–2018 · leading case: Lindeen v. Sec. & Exch. Comm'n, 825 F.3d 646 (D.C. Cir. 2016).
Lindeen v. Sec. & Exch. Comm'n, 825 F.3d 646 (D.C. Cir. 2016). “at 21,899 (emphasis added) (codified at 17 C.F.R. § 230.256 ). As a result, Regulation A-Plus preempted all state registration and qualification requirements for Tier-2 securities either (1) purchased by an “accredited investor” or (2) purchased by anyone else so long as the…”
Fed. Sec. L. Rep. P 94,974 United States of Am. v. Vincent Aloi, 511 F.2d 585 (2d Cir. 1975). “The conspiracy charged is that the defendants “did combine, conspire, confederate and agree together and with each other to commit certain violations of federal law, to wit, violations of Title 15, United States Code, Sections 77q(a), 77s(a), 77x and 17 C.F.R. §§ 230.256 and…”
Sec. & Exch. Comm'n v. Longfin Corp., 316 F. Supp. 3d 743 (S.D. Ill. 2018). “2016) (citing 17 C.F.R. § 230.256 ). The relevant statute provides that "[e]very issuer of a security registered pursuant [Section 12 of the Exchange Act] shall file with the [SEC], in accordance with such rules and regulations as the Commission may prescribe .”
Fed. Sec. L. Rep. P 95,217 United States of Am. v. Milton Cohen, 518 F.2d 727 (2d Cir. 1975). “§§ 77j, 77x, and securities regulation 17 CFR 230.256. These sections set forth the material required to be set forth in an offering' circular and require that the circular be provided to persons to whom an offer is made.”
Fed. Sec. L. Rep. P 97,212 Sec. & Exch. Comm'n v. Blazon Corp. Arthur E. Lloyd Gary B. Larson Utah Capital Corp. Glenn W. McMurray Sec. & Exch. Comm'n v. Blazon Corp., Utah Capital Corp. & Glenn W. McMurray, 609 F.2d 960 (9th Cir. 1979). “" 17 C.F.R. 230.256(e) (Rule 256). An offering circular must be given to each buyer before or with the confirmation of the sale or before payment for the securities, whichever occurs first.”
Koss v. Sec. & Exch. Comm'n of the United States, 364 F. Supp. 1321 (S.D.N.Y. 1973). “Despite the lack of registration, however, the SEC does not eschew supervision of Regulation A filings, for Rule 256 of the Regulation, 17 C.F.R. 230.256 (1973) requires that an offering circular containing information about the offering and the issuer be filed with the…”
Sec. & Exch. Comm'n v. Sw. Coal & Energy Co., 624 F.2d 1312 (5th Cir. 1980). “17 C.F.R. § 230.256 (e) (1979). See SEC v.”
In re Schiffman, 62 A.D.2d 438 (N.Y. App. Div. 1978). “After plead *439 ing guilty, respondent was convicted in the United States District Court for the Southern District of New York of conspiring to violate subdivision (a) of section 77s of title 15 of the United States Code and rule 256(e) (17 CFR 230.256 [e]) and Form 1-A…”
— 17 C.F.R. § 230.256(e) — 1 case
Fed. Sec. L. Rep. P 97,212 Sec. & Exch. Comm'n v. Blazon Corp. Arthur E. Lloyd Gary B. Larson Utah Capital Corp. Glenn W. McMurray Sec. & Exch. Comm'n v. Blazon Corp., Utah Capital Corp. & Glenn W. McMurray, 609 F.2d 960 (9th Cir. 1979). “" 17 C.F.R. 230.256(e) (Rule 256). An offering circular must be given to each buyer before or with the confirmation of the sale or before payment for the securities, whichever occurs first.”
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