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Private Capital-Raising:
Easing Restrictions on Investors?

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Table of Contents

March 22, 2011 Letter from Congressman Issa to SEC Commissioner Schapiro (18 pp) $29.00

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April 6, 2011 Letter from SEC Chairman Schapiro to Congressman Issa (28 pp) $29.00

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April 29, 2011 Letter from Congressman Issa to SEC Chairman Schapiro (14 pp) $29.00

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Rule 12g5-1 of the Securities Exchange Act: Definition of Securities “Held of Record” (4 pp)

Section 12(g) of the Securities Exchange Act of 1934 (4 pp)

SEC-REPLY-1: September 20, 1988 RESPONSE OF THE OFFICE OF CHIEF COUNSEL (4 pp)

Frequently Asked Questions about the Resale of Restricted Securities (14 pp) $29.00
By Alan J. Berkeley

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Proposed Rule 506 Amendment Release to Disqualify Felons and Bad Actors from Securities Offerings (6 pp)

Private Trading Platforms for Restricted Securities (8 pp) $29.00
By Alan J. Berkeley

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The Issa – Schapiro Correspondence (12 pp) $29.00
By Robert B. Robbins

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Registration under the Securities Exchange Act of 1934 – Counting and Limiting Shareholders under Section 12(g) (12 pp) $29.00
By Robert B. Robbins

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