10 Pa. Code § 203.192 - Rule 801 and 802 offerings exempt

Current through Register Vol. 51, No. 40, October 2, 2021

Under section 203(r) of the act (70 P.S. § 1-203(r)), the Department finds it not necessary or appropriate for the protection of investors to require registration under section 201 of the act (70 P.S. § 1-201) for the offer and sale of securities by an issuer which are exempt from registration under the Securities Act of 1933 (15 U.S.C.A. §§ 77a-77aa) under Rule 801 or 802 promulgated by the Securities and Exchange Commission ( 17 CFR 230.801 or 230.802 ) (relating to exemption in connection with a rights offering; and exemption for offerings in connection with an exchange offer or business combination for the securities of foreign private issuers).

Notes

10 Pa. Code § 203.192
The provisions of this § 203.192 adopted September 1, 2000, effective September 2, 2000, 30 Pa.B. 4551; transferred and renumbered from 64 Pa. Code § 203.192, December 14, 2012, effective December 15, 2012, 42 Pa.B. 7533. Amended by Pennsylvania Bulletin, Vol 48, No. 02. January 13, 2018, effective 1/13/2018

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