A letter from Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. confirming their compliance with Rule 506(d) of Regulation D under the Securities Act of 1933, as amended. The letter assures the issuer that the solicitors are unaware of any disqualifying events that would affect their participation in offerings, as specified in the Bad Actor Provisions.
doj/DataSet10/EFTA01386105.pdf
{"title":"Disclosures by Compensated Solicitors Under Rule 506(d) of Regulation D under the Securities Act of 1933","key_people":["Mark P. Barracca"],"document_date":"2013-09-20","document_type":"correspondence","key_locations":["St. Petersburg, FL"],"document_subtype":"letter","key_organizations":["Raymond James & Associates, Inc.","Raymond James Financial Services, Inc."],"reference_numbers":["DB-SDNY-0087652","SDNY GM_00233836","EFTA01386105"]}