Exchange Act Rule 15c2-11 governs when broker-dealers may publish electronic quotes in securities that are not traded on an exchange. On...

During my almost ten years of securities practice, I have always had an issue with the people and entities that are allowed to take part...

During Donald Trump’s controversial term as President of the United States, he has never shied away from using social media (Twitter) to...

Traditionally, raising capital as a startup or a small company has been very difficult. Going public can be time-consuming and expensive....

The most common exemptions from registration include: Section 4(a)(2); Rule 504 under Regulation D; Rule 506(b) under Regulation D; Rule...

Exemptions from registration used in private offerings that are commonly used include: Section 4(a)(2); Rule 504 under Regulation D; Rule...

What is equity crowdfunding? On May 16, 2016, Title III of the Jumpstart Our Business Startups (“JOBS”) Act of 2012 (Regulation CF)...

The most common exemptions from registration are the following: Section 4(a)(2); Rule 504 under Regulation D; Rule 506(b) under...

The most common exemptions from registration used in private offerings are the following: Section 4(a)(2) Rule 504 under Regulation D;...

As previously mentioned, the most common exemptions from registration used in private offerings are the following: Section 4(a)(2); Rule...

As was discussed in a previous blog post, the most common exemptions from registration used in private offerings are the following: ·...

On September 29, 2018, the SEC announced that Elon Musk and Tesla, Inc. had each agreed to settle the securities fraud charge brought by...

Companies looking to raise funds through the issuance of equity securities can either seek capital in the public or private markets and,...

One of the largest hurdles which often prevents startups and small companies from achieving success, both in the short term and the long...

Last week we posted a blog covering the breaking news that the SEC was suing Elon Musk for making false and/or misleading statements in...

On August 7, 2018, the usually cluttered Twitterverse was interrupted with the following tweet from Elon Musk: Posting tweets containing...

Once a company becomes subject to the requirements of the Securities and Exchange Act of 1934, as amended (the “Exchange Act”), it has an...

Now that the public company is subject to the requirements of the Securities and Exchange Act of 1934, as amended (the “Exchange Act”)...

Does becoming a public company and taking advantage of public markets sound desirable to you? Before your company takes the step of...