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9 Dec 2016, 3:00 am
Here’s the inventory: – 5 new Exchange Act Forms CDIs: Form 20-F – 2 new Securities Act Forms CDIs: F-Series Forms – 7 new Exchange Act Rules CDIs: Rules 3a11-1 to 3b-19 – 2 new Exchange Act Rules CDIs: Rules 12g-3 & 12h-3 – 6 new Securities Act Rules CDIs: Rule 144A – 7 new Securities Act Rules CDIs: Rule 405 – 6 new Securities Act Rules CDI: Rules 902 &… [read post]
25 Sep 2017, 3:19 am
Rule 504 — Exemption for Limited Offerings and Sales of Securities Not Exceeding $5,000,000 – CDI 258.03 – CDI 258.04 (withdrawn) – CDI 258.05 – CDI 258.06 Section 259. [read post]
23 Mar 2022, 3:30 am
Corp Fin issued some M&A-related CDIs yesterday. [read post]
21 Nov 2016, 3:00 am
The remaining CDIs address interpretive issues relating to abbreviated debt tenders (new CDIs 162.01 […] [read post]
8 Nov 2018, 3:00 am
Rule 12b-2: – CDI 130.04 (withdrawn) – CDI 169.01 (withdrawn) – CDI 169.02 (withdrawn) – CDI 169.03 (withdrawn) 2. [read post]
23 Mar 2022, 3:00 am
Here are links to the individual CDIs & a brief summary of the issues they address: Exchange Act Form 8-K – CDI #102.04 – The material terms and conditions of an acquisition agreement that should be disclosed in […] [read post]
23 Oct 2017, 3:16 am
In connection with the adoption of the new CDI, the Staff renumbered the existing CDIs and deleted references to Item 1015 that previously appeared in what is now Non-GAAP CDI 101.02. [read post]
23 Sep 2016, 3:39 am
Yesterday, Corp Fin issued this new “CDI 139.33/126.41” under the Securities Act Section 5/Form S-8 areas – while withdrawing “CDI 239.16/226.15. [read post]
16 Nov 2020, 3:03 am
These CDIs relate to equity line financing arrangements and PIPEs that can raise issues under Securities Act Section 5 – CDI 139.13 has been updated and CDIs 139.15, 139.16, 139.17, 139.18, 139.19 and 139.20 have been withdrawn. [read post]
30 Oct 2017, 3:00 am
The blog noted that the new CDI didn’t cover the entire […] [read post]
26 Aug 2022, 3:24 am
Unfortunately, the SEC didn’t include links to the individual CDIs, so you’ll need to scroll down to the new Section 139 in order to find them. [read post]
18 Oct 2017, 3:00 am
Yesterday, Corp Fin issued a new CDI that helps address some of that uncertainty. [read post]
18 Oct 2018, 3:00 am
Here’s the inventory: – 5 CDIs (101.03, 103.01, 104.02, 104.03, & 104.05) reflect substantive changes to the Telephone Interps – 2 CDIs (100.04 &101.01) reflect technical revisions to the Telephone Interps – 4 CDIs (100.01, 101.09, 104.04, & 105.01) reflect only non-substantive changes to the Telephone Interps – The remaining 16 CDIs are newly published interpretations Tweet Fight! [read post]
9 Aug 2016, 3:18 am
We’ve been covering Corp Fin’s new non-GAAP CDIs extensively – including two blockbuster webcasts. [read post]
8 Oct 2014, 5:00 am
As Steve Quinlivan notes in this blog, a new Corp Fin CDI 141.05 (Securities Act Rules) indicates that companies may use IP addresses to effectively limit their offers to particular states or territories to qualify for Rule 147’s intrastate offering exemption: In a new CDI, the SEC indicates it may be possible to use IP addresses to control internet communications so that offers are made only in one state and qualify for the intrastate exemption under Rule 147. [read post]
29 Aug 2022, 3:15 am
Unfortunately, the SEC didn’t include links to the individual CDIs, so you’ll need to scroll down to the new Section 139 in order to find them. [read post]
23 Mar 2016, 4:46 am
The CDI provides six examples of what not to do. [read post]
28 Nov 2023, 3:15 am
I’ve also included marked versions of the revised CDIs. [read post]
26 Mar 2009, 5:56 am
Corp Fin Updates Exchange Act Rules CDIs Yesterday, the Corp Fin Staff updated the Exchange Act Rules CDIs to include interpretations of Exchange Act Rule 10b5-1. [read post]
6 Jan 2014, 4:29 am
Corp Fin Issues 5 More "Bad Actor" CDIs (& a 13d-3 CDI) Following on the heels of the issuance of 14 CDIs last month clarifying the application of the "bad actor" disqualifications from Rule 506 offerings, Corp Fin issued five more "Securities Act Rules Compliance and Disclosure Interpretations" in this area on Friday. [read post]
