About this episode
This week we discuss SEC waivers granted to those with the elite 'WKSI' status.
In 2005, the SEC introduced an innovative new issuer category called Well-Known Seasoned Issuer status. Qualifying for this status is a license to party.
As a WKSI, you have access to SEC-issued waivers. These are granted in the event of a criminal conviction. The way the SEC explains it, “A waiver, which could include conditions or undertakings, may be granted if a review of all of the facts and circumstances leads the Division to conclude that granting the waiver would be consistent with the public interest and the protection of investors.”
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