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Regulation D

Trading Term

States that a private placement of a security offering is exempt from the Securities Act of 1933 if the following conditions are met:

  • The issuer must have reason to believe that the buyer is a sophisticated investor.
  • The buyer must have access to the same financial information that would normally be included in a prospectus.
  • The issuer must be assured that the buyer does not intend to make a quick sale of the securities.
  • The securities may not be sold to more than thirty-five non-accredited investors.

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