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Jun 23, 20212 min read

OTC MARKETS DESLISTING DEADLINES COMING SOON FOR NON-CURRENT COMPANIES

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

Aug 26, 20202 min read

LONG OVERDUE: SEC AMENDS “ACCREDITED INVESTOR” DEFINITION

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...

Dec 19, 20182 min read

IS LESS DISCLOSURE REALLY A GOOD IDEA? ARE THERE SIGNS THE SEC AGREES WITH PRESIDENT TRUMP?

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

Dec 12, 20183 min read

HOW TO CHOOSE THE RIGHT EQUITY CROWDFUNDING PLATFORM

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

Dec 5, 20183 min read

REGULATION A: A MINI-IPO

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

Nov 27, 20183 min read

PRIVATE OFFERING EXEMPTIONS FROM REGISTRATION: RULE 701

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

Nov 21, 20183 min read

SECRETS TO A SUCCESSFUL CROWDFUNDING: AN ATTORNEY'S TAKE

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

Nov 14, 20183 min read

CROWDFUNDING: A MODERN EXEMPTION FROM REGISTRATION

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

Nov 6, 20186 min read

REGULATION S FOR PRIVATE OFFERING EXEMPTIONS FROM REGISTRATION

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