Regulation D Rule 506(e) Felons and Other Bad Actors Disclosure Statement

OMB 3235-0704

Regulation D Rule 506(e) requires issuers to provide disclosure to purchasers regarding past disqualifying events enumerated in Regulation D Rule 506(d).

The latest form for Regulation D Rule 506(e) Felons and Other Bad Actors Disclosure Statement expires 2024-01-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Rule506(e).FederalRegister.30 Day Notice.pdf Supplementary Document
Rule506(e).FederalRegister.60 Day Notice.pdf Supplementary Document
Bad Actors Supporting statement.10-20-2020.pdf Supporting Statement A
Regulation D Rule 506(e) Felons and Other Bad Actors Disclosure Statement (Disclosure B)
Regulation D Rule 506(e) Felons and Other Bad Actors Disclosure Statement (Disclosure A)

All Historical Document Collections

202010-3235-014	Extension without change of a currently approved collection	2020-10-28
201706-3235-013 Approved without change	Extension without change of a currently approved collection	2017-06-29
201403-3235-009 Approved without change	Extension without change of a currently approved collection	2014-03-12
201308-3235-013 Approved without change	New collection (Request for a new OMB Control Number)	2013-09-05
201307-3235-006 Withdrawn	New collection (Request for a new OMB Control Number)	2013-07-24

OMB Details

Regulation D Rule 506(e) Felons and Other Bad Actors Disclosure Statement (Disclosure A)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight