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SEC Proposes to Expand “Test-the-Waters” Modernization Reform to All Issuers

On February 19, 2019, the SEC proposed new rule 163B under the Securities Act of 1933 that would permit all issuers to engage in “test-the-waters” communications with qualified institutional buyers (“QIBS”) and institutional accredited investors (“IAIs”) about a contemplated registered securities offering. These communications could take place prior to, or following, the filing of a registration statement relating to the offering.

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Legal and Compliance Officers Left in Doubt about their Personal Liability

Practices: Investment Management, Hedge Funds, Private Investment Funds, Corporate & Securities Litigation, Government Enforcement / White Collar Criminal Defense

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