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Cited Its Compliance Efforts.pdf

nebulous-093019-506.pdf
Preview of cited its compliance efforts
🔗 Source: sec.gov
📊 Size: 279 KB
👤 Author: Cooley on behalf of Nebulous, Inc.
⬇️ Downloads: 53

Summary

Law firm Cooley LLP, on behalf of Nebulous, Inc., requests a waiver of disqualification from relying on certain exemptions under Regulation A and Rule 506 of Regulation D due to a proposed settlement with the U.S. Securities and Exchange Commission (SEC). The settlement arises from Nebulous' unregistered offer and sale of securities, specifically Siastock (later renamed Siafunds) and SiaNotes, in 2014 and 2015, which violated Sections 5(a) and 5(c) of the Securities Act. The proposed order requires Nebulous to cease and desist from committing violations and pay $224,601.85 in civil penalties, disgorgement, and pre-judgment interest. Without a waiver, the entry of the proposed order would disqualify Nebulous and its affiliates from relying on Regulation D and Regulation A.

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Description

Law firm Cooley LLP, on behalf of Nebulous, Inc., requests a waiver of disqualification from relying on certain exemptions under Regulation A and Rule 506 of...

Technical Information

  • File Format: PDF
  • File Size: 279 KB
  • Pages: 9
  • Language: EN
  • Author: Cooley on behalf of Nebulous, Inc.
  • Total Downloads: 53
  • Last Updated: 1 week ago

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