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Name File Type Size Last Modified
Background checks Legal - Nasa v Nelson - Final Decision US SUpreme Ct 1-29-11 PDF
103 KB
Mar/31/2011
Bad Actor Disqualification Questionnaire - Why SEC Requires It - Effects on All Issuers Even Small PDF
42 KB
Mar/21/2016
Bad Actor Questionnaire - LInk to Law firm notes on BAQ DOC
11 KB
Sep/15/2015
Bad Actor Rules - SEC Release 33-9414 PDF
565 KB
Oct/10/2013
Blue sky filing fee chart 1 table for public offering or Reg A in state name order DOC
117 KB
Nov/05/2000
Blue sky filing fee chart 3 tables for public offering or Reg A, ordered by difficulty of registration. DOC
108 KB
Nov/02/2000
Pennsylvania - Filing Requirements for Reg A+ - Phil Rutledge 11-18-15 PDF
111 KB
Nov/18/2015
Reg D 506(b) Reasonable Belief Test - SEC_s view - Check Box on Sub Doc Not Adequate_ but 506(c) gui DOC
17 KB
Feb/04/2014
SEC Bad Actor Rules Adopted 9-23-13 DOC
15 KB
Mar/27/2014

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