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SEC issues final rule on compensatory arrangements

  • SEC document Image

Jul 18, 2018

The SEC has issued a final rule, “Rule 701 — Exempt Offerings Pursuant to Compensatory Arrangements,” which increases “from $5 million to $10 million the aggregate sales price or amount of securities sold during any consecutive 12-month period in excess of which the issuer is required to deliver additional disclosures to investors.

In addition, the SEC has issued a concept release to solicit feedback on ways to modernize existing rules related to compensatory arrangements.

For more in­for­ma­tion, see the press release, final rule, and concept release on the SEC’s Web site.

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