Source: https://www.law.cornell.edu/cfr/text/17/230.176?qt-cfr_tabs=1
Timestamp: 2016-05-07 00:35:03
Document Index: 468628430

Matched Legal Cases: ['art 230', '§ 230', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 80', '§ 80', '§ 80', '§ 80', '§ 80', '§ 80', 'art 230', 'art 230']

17 CFR 230.176 - Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act. | US Law | LII / Legal Information Institute
CFR › Title 17 › Chapter II › Part 230 › Section 230.176 17 CFR 230.176 - Circumstances affecting the determination of what constitutes reasonable investigation and reasonable grounds for belief under section 11 of the Securities Act.
§ 230.176
Circumstances affecting the determination of what constitutes reasonable
investigation and reasonable grounds for belief under section 11 of the Securities Act.
In determining whether or not the conduct of a person constitutes a reasonable investigation or a reasonable
ground for belief meeting the standard set forth in section 11(c), relevant circumstances include, with respect to a
person other than the issuer.
The type of issuer;
The type of security;
The type of person;
The office held when the person is an officer;
The presence or absence of another relationship to the issuer when the person is a director or proposed director;
Reasonable reliance on officers, employees, and others whose duties
should have given them knowledge of the particular facts (in the light of
the functions and responsibilities of the particular person with respect to the issuer and the filing);
When the person is an underwriter, the type of underwriting arrangement, the
role of the particular person as an underwriter and the availability of information with
respect to the registrant; and
Whether, with respect to a fact or document incorporated by reference,
the particular person had any responsibility for the fact or document at
the time of the filing from which it was incorporated.
(g) When the person is an underwriter, the type of underwriting arrangement, the role of the particular person as an underwriter and the availability of information with respect to the registrant; and (h) Whether, with respect to a fact or document incorporated by reference, the particular person had any responsibility for the fact or document at the time of the filing from which it was incorporated.
This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.United States CodeU.S. Code: Title 15 - COMMERCE AND TRADE§ 77b - Definitions; promotion of efficiency, competition, and capital formation§ 77b note - Definitions; promotion of efficiency, competition, and capital formation§ 77c - Classes of securities under this subchapter§ 77d - Exempted transactions§ 77d note - Exempted transactions§ 77f - Registration of securities§ 77g - Information required in registration statement§ 77h - Taking effect of registration statements and amendments thereto§ 77j - Information required in prospectus§ 77r - Exemption from State regulation of securities offerings§ 77s - Special powers of Commission§ 77z-3§ 77sss - Rules, regulations, and orders§ 78c - Definitions and application§ 78d - Securities and Exchange Commission§ 78j - Manipulative and deceptive devices§ 78l - Registration requirements for securities§ 78m - Periodical and other reports§ 78n - Proxies§ 78o - Registration and regulation of brokers and dealers§ 78t - Liability of controlling persons and persons who aid and abet violations§ 78w - Rules, regulations, and orders; annual reports§ 78ll - Requirements for the EDGAR system§ 78mm - General exemptive authority§ 78o-7 note§ 80a-8§ 80a-24§ 80a-28§ 80a-29§ 80a-30§ 80a-37
Title 17 published on 2015-04-01The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 230 after this date.2015-11-10; vol. 80 # 217 - Tuesday, November 10, 201580 FR 69786 - Exemptions To Facilitate Intrastate and Regional Securities Offerings
typeregulations.gov FR Doc.2015-28219 RIN3235-AL80 Release Nos.33-9973 34-76319 File No.S7-22-15 SECURITIES AND EXCHANGE COMMISSION Proposed rules. Comments should be received by January 11, 2016. 17 CFR Part 230 SummaryWe are proposing amendments to Rule 147 under the Securities Act of 1933, which currently provides a safe harbor for compliance with the Section 3(a)(11) exemption from registration for intrastate securities offerings. Our proposal would modernize the rule and establish a new exemption to facilitate capital formation, including through offerings relying upon recently adopted intrastate crowdfunding provisions under state securities laws. The proposed amendments to the rule would eliminate the restriction on offers and ease the issuer eligibility requirements, while limiting the availability of the exemption at the federal level to issuers that comply with certain requirements of state securities laws. We further propose rule amendments to Rule 504 of Regulation D under the Securities Act to facilitate issuers&apos; capital raising efforts and provide additional investor protections. The proposed amendments to Rule 504 would increase the aggregate amount of securities that may be offered and sold in any twelve-month period from $1 million to $5 million and disqualify certain bad actors from participation in Rule 504 offerings.