17 CFR 230.507 - Disqualifying provision relating to exemptions under §§ 230.504 and 230.506.

§ 230.507 Disqualifying provision relating to exemptions under §§ 230.504 and 230.506.

(a) No exemption under § 230.504 or § 230.506 shall be available for an issuer if such issuer, any of its predecessors or affiliates have been subject to any order, judgment, or decree of any court of competent jurisdiction temporarily, preliminary or permanently enjoining such person for failure to comply with § 230.503.

(b) Paragraph (a) of this section shall not apply if the Commission determines, upon a showing of good cause, that it is not necessary under the circumstances that the exemption be denied.

[ 54 FR 11374, Mar. 20, 1989, as amended at 81 FR 83553, Nov. 21, 2016]

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

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United States Code
Statutes at Large

Title 17 published on 06-Sep-2017 03:43

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 230 after this date.

  • 2017-10-02; vol. 82 # 189 - Monday, October 2, 2017
    1. 82 FR 45722 - Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Interim final temporary rule.
      These rules are effective from September 28, 2017, through November 22, 2017.
      17 CFR Parts 227 and 230
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