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Expert Analysis

A Chronic Diligence Headache For Emerging Companies

Law360, New York ( September 9, 2013, 6:26 PM EDT) -- As required by the Dodd-Frank Act, the U.S. Securities and Exchange Commission on July 10, 2013, adopted final Rule 506(d) to "disqualify felons and other bad actors" from Regulation D private offerings. New Rule 506(d) identifies persons and triggering events that can disqualify an offering from relying on Rule 506 — the most widely used registration exemption for private placements of securities, resulting in billions of dollars of investment proceeds each year. The new rule will have important consequences for emerging companies — and not just when they are raising capital....

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