OMB control number

Regulation D Rule 504(b)(3)-Felons and Other Bad Actors Disclosure Statement

OMB 3235-0746 · SEC.

OMB 3235-0746

Regulation D Rule 504(b)(3) 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 504(b)(3)-Felons and Other Bad Actors Disclosure Statement expires 2023-04-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Regulation D Rule 504 (b)(3) Supporting Statement.final.2020.pdf Supporting Statement A
Regulation D 504(b)(3).30 Day Federal Register Notice.pdf Supplementary Document
Regulation D 504(b)(3). 60 Day Federal Register Notice.pdf Supplementary Document
February 5, 2020 EDAGR PIA.pdf Supplementary Document
Regulation D Rule 504(b)(3)-Felons and Other Bad Actors Disclosure Statement
Regulation D Rule 504(b)(3)-Felons and Other Bad Actors Disclosure Statement

All Historical Document Collections

202003-3235-014 Approved without change	Extension without change of a currently approved collection	2020-03-20
201612-3235-002 Approved without change	New collection (Request for a new OMB Control Number)	2016-12-20
201605-3235-020 Comment filed on proposed rule	New collection (Request for a new OMB Control Number)	2016-06-03

OMB Details

Regulation D Rule 504(b)(3)-Felons and Other Bad Actors Disclosure Statement

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight