Richard W. Jones

Mr. Jones is an attorney with the Atlanta,Georgia law firm of Jones & Haley,P.C. Mr. Jones concentrates his practice on securities law matters,such as public offerings,IPO's,private placements,SEC compliance,broker/dealer and investment adviser regulation and hedge funds. For further information go to

Email Form

Contact Richard W. Jones

*(denotes required field)

SEC Applies “Bad Boy” Rules to Regulation D Offerings

Last year the US Securities and Exchange Commission proposed a new rule that would disqualify “bad actors” from using Rule 506 of Regulation D. This is not a new concept,Rule 262 of Regulation A already has a “bad boy” disqualification,and many states also prohibit “bad boys” from using their exemptions. However,[...]