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SEC staff publishes C&DIs on brokerage windows

  • SEC (US Securities and Exchange Commission) Image

Sep 26, 2016

The staff in the SEC’s Division of Corporation Finance has updated its compliance and disclosure interpretations (C&DIs) related to Securities Act sections and Securities Act forms to include guidance on self-directed “brokerage windows.”

For more information, see Question 139.33 of the Securities Act section C&DIs and Question 126.41 of the Securities Act form C&DIs on the SEC’s Web site.

Correction list for hyphenation

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