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ARTICLE · 01 JULY 2019

SEC Seeks Public Comment To Improve Exempt Offering Process

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On June 18, 2019, the Securities and Exchange Commission (the "SEC") issued a concept release requesting public comment on ways to simplify, harmonize and improve the exempt offering process.

United StatesCorporate/Commercial Law
Brian D. Hirshberg
Brian D. Hirshberg
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On June 18, 2019, the Securities and Exchange Commission (the "SEC") issued a concept release requesting public comment on ways to simplify, harmonize and improve the exempt offering process to expand investment opportunities while maintaining investor protections. The concept release solicits public input on whether changes should be made to improve the consistency, accessibility and effectiveness of the current exemptions from registration for both companies and investors, including identifying potential overlaps or gaps within the framework. In particular, the concept release asks commenters to consider whether:

  • The limitations on who can invest in certain exempt offerings, or the amount they can invest, provide an appropriate level of investor protection or pose an undue obstacle to capital formation or investor access to investment opportunities;

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