Section 4(a)(6) of the Securities Act of 1933
E298384
Section 4(a)(6) of the Securities Act of 1933 is the statutory exemption that permits certain small companies to raise limited amounts of capital from the general public through regulated crowdfunding without registering their securities offerings with the SEC.
All labels observed (1)
| Label | Occurrences |
|---|---|
| Section 4(a)(6) of the Securities Act of 1933 canonical | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T2798275 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: Section 4(a)(6) of the Securities Act of 1933 Context triple: [Regulation Crowdfunding, legalBasis, Section 4(a)(6) of the Securities Act of 1933]
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A.
Section 4(a)(2) of the Securities Act of 1933
Section 4(a)(2) of the Securities Act of 1933 is the statutory exemption that permits issuers to offer and sell securities in private placements without registering them with the SEC, provided the transactions do not involve a public offering.
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B.
Section 10(b) of the Securities Exchange Act of 1934
Section 10(b) of the Securities Exchange Act of 1934 is a key U.S. federal securities law provision that broadly prohibits manipulative and deceptive practices in connection with the purchase or sale of securities.
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C.
U.S. Securities Act of 1933
The U.S. Securities Act of 1933 is a landmark federal law that established strict disclosure requirements for securities offerings to protect investors and restore confidence in financial markets after widespread abuses revealed by the stock market crash and ensuing economic crisis.
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D.
Securities Act Amendments of 1964
The Securities Act Amendments of 1964 were U.S. federal legislative changes that expanded and strengthened federal securities regulation, particularly by extending disclosure and reporting requirements for publicly traded companies.
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E.
U.S. Securities Exchange Act of 1934
The U.S. Securities Exchange Act of 1934 is a landmark federal law that created the Securities and Exchange Commission (SEC) and established comprehensive regulation of secondary trading of securities in the United States to restore investor confidence and prevent market abuses.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: Section 4(a)(6) of the Securities Act of 1933 Target entity description: Section 4(a)(6) of the Securities Act of 1933 is the statutory exemption that permits certain small companies to raise limited amounts of capital from the general public through regulated crowdfunding without registering their securities offerings with the SEC.
-
A.
Section 4(a)(2) of the Securities Act of 1933
Section 4(a)(2) of the Securities Act of 1933 is the statutory exemption that permits issuers to offer and sell securities in private placements without registering them with the SEC, provided the transactions do not involve a public offering.
-
B.
Section 10(b) of the Securities Exchange Act of 1934
Section 10(b) of the Securities Exchange Act of 1934 is a key U.S. federal securities law provision that broadly prohibits manipulative and deceptive practices in connection with the purchase or sale of securities.
-
C.
U.S. Securities Act of 1933
The U.S. Securities Act of 1933 is a landmark federal law that established strict disclosure requirements for securities offerings to protect investors and restore confidence in financial markets after widespread abuses revealed by the stock market crash and ensuing economic crisis.
-
D.
Securities Act Amendments of 1964
The Securities Act Amendments of 1964 were U.S. federal legislative changes that expanded and strengthened federal securities regulation, particularly by extending disclosure and reporting requirements for publicly traded companies.
-
E.
U.S. Securities Exchange Act of 1934
The U.S. Securities Exchange Act of 1934 is a landmark federal law that created the Securities and Exchange Commission (SEC) and established comprehensive regulation of secondary trading of securities in the United States to restore investor confidence and prevent market abuses.
- F. None of above. chosen
Statements (45)
| Predicate | Object |
|---|---|
| instanceOf | statutory securities registration exemption ⓘ |
| addedBy |
Jumpstart Our Business Startups Act
ⓘ
surface form:
Title III of the JOBS Act
|
| administeredBy |
Securities and Exchange Commission
ⓘ
surface form:
U.S. Securities and Exchange Commission
|
| appliesTo |
crowdfunding transactions
ⓘ
securities offerings ⓘ small business issuers ⓘ |
| authorityDerivedFrom | Jumpstart Our Business Startups Act ⓘ |
| codifiedIn | 15 U.S.C. § 77d(a)(6) ⓘ |
| distinguishes |
crowdfunding offerings from registered public offerings
ⓘ
crowdfunding offerings from traditional private placements ⓘ |
| enactedBy | United States Congress ⓘ |
| governs | offer and sale of securities through SEC‑regulated crowdfunding platforms ⓘ |
| implementedBy | Regulation Crowdfunding ⓘ |
| jurisdiction | United States federal law ⓘ |
| legalEffect |
creates a federal crowdfunding exemption
ⓘ
exempts qualifying offerings from Securities Act registration ⓘ permits certain issuers to raise capital from the general public ⓘ |
| limits | total amount an issuer may raise in reliance on the exemption during a 12‑month period ⓘ |
| partOf |
U.S. Securities Act of 1933
ⓘ
surface form:
Securities Act of 1933
|
| permits |
general solicitation through an online crowdfunding platform subject to conditions
ⓘ
offerings to non‑accredited investors ⓘ |
| policyGoal |
balance capital formation with investor protection in online crowdfunding
ⓘ
expand access to capital markets for startups and small businesses ⓘ |
| protects | retail investors through disclosure and investment caps ⓘ |
| purpose |
allow broad public participation in small offerings under investor protection safeguards
ⓘ
facilitate capital formation for small and emerging companies ⓘ reduce regulatory burdens associated with full Securities Act registration ⓘ |
| relatedTo |
Regulation A
ⓘ
Regulation D ⓘ Section 12(a)(2) of the Securities Act of 1933 ⓘ Section 4(a)(2) of the Securities Act of 1933 ⓘ |
| requires |
compliance with investor investment limits
ⓘ
compliance with offering limits ⓘ filing of specified information with the SEC ⓘ offerings to be conducted through a single crowdfunding intermediary ⓘ ongoing reporting by issuers that rely on the exemption ⓘ providing specified information to investors ⓘ use of an intermediary that is a registered broker or funding portal ⓘ |
| scope | federal exemption that does not preempt all state law requirements ⓘ |
| subjectTo |
aggregate offering amount cap set by statute and SEC rules
ⓘ
bad actor disqualification provisions ⓘ individual investor investment caps based on income or net worth ⓘ issuer eligibility restrictions ⓘ resale restrictions on securities purchased in the offering ⓘ |
| yearAdded | 2012 ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: Section 4(a)(6) of the Securities Act of 1933 Description of subject: Section 4(a)(6) of the Securities Act of 1933 is the statutory exemption that permits certain small companies to raise limited amounts of capital from the general public through regulated crowdfunding without registering their securities offerings with the SEC.
Referenced by (1)
Full triples — surface form annotated when it differs from this entity's canonical label.