Christopher L. Doerksen

Capital Markets Tip: Ensure Your Company Isn’t Shut Out of Rule 506 Offerings under the SEC’s “Bad Actor” Disqualification Rules

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The following comes to us from Christopher L. Doerksen, a partner at Dorsey & Whitney LLP in Seattle.

For years, issuers and broker-dealers have relied upon Rule 506 of Regulation D under the Securities Act of 1933, as amended (the …

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