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;...