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Saving Grace

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Saving Grace

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Thursday, 07/23/2015 8:43:58 PM

Thursday, July 23, 2015 8:43:58 PM

Post# of 8708
Regulation M Notices.

http://www.finra.org/industry/regulation-m-faq

According to the SEC, a firm must examine individually each takedown off a shelf (sometimes referred to as a "tranche") to determine whether it constitutes a "distribution" under Regulation M. See Securities Exchange Act Release No. 38067 (December 20, 1996), 62 FR 520 (January 3, 1997) (File No. S7-11-96) (Anti-Manipulation Rules Concerning Securities Offerings; Final Rules). - See more at: www.finra.org/industry/regulation-m-faq#sthash.F2LQpLgh.dpuf
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