Final Rule
Definition of "Prepared By or On Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation
Overview
The National Securities Markets Improvements Act of 1996 mandates that the Securities and Exchange Commission ("Commission') adopt a definition of the phrase "prepared by or on behalf of the issuer' found in Section 18 of the Securities Act of 1933. The Commission today adopts this definition, thereby providing guidance as to when an offering document is subject to state regulation.
Prior Actions
Proposed Rule (33-7388)
Release Number
33-7388
33-7418
SEC Issue Date
Feb. 11, 1997
Federal Register Publish Date
Feb. 18, 1997
Document Citation
62 FR 7186
RIN
3235-AH14
Details
File Number
S7-6-97
Rule Type
Final
Release Number
33-7418
33-7388
SEC Issue Date
April 30, 1997
Federal Register Publish Date
May 6, 1997
Document Citation
62 FR 24572
RIN
3235-AH14