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OTC MARKETS DESLISTING DEADLINES COMING SOON FOR NON-CURRENT COMPANIES

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...

LONG OVERDUE: SEC AMENDS “ACCREDITED INVESTOR” DEFINITION

Brian Higley, Esq.

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...

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

Brian Higley, Esq.

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...

HOW TO CHOOSE THE RIGHT EQUITY CROWDFUNDING PLATFORM

Brian Higley, Esq.

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....

Brian Higley, Esq.

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...

PRIVATE OFFERING EXEMPTIONS FROM REGISTRATION: RULE 701

Brian Higley, Esq.

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...

SECRETS TO A SUCCESSFUL CROWDFUNDING: AN ATTORNEY'S TAKE

Brian Higley, Esq.

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)...

CROWDFUNDING: A MODERN EXEMPTION FROM REGISTRATION

Brian Higley, Esq.

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...

REGULATION S FOR PRIVATE OFFERING EXEMPTIONS FROM REGISTRATION

Brian Higley, Esq.

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;...

PRIVATE OFFERING EXEMPTIONS FROM REGISTRATION: RULES 506(c) AND 504

Brian Higley, Esq.

Oct 30, 20183 min read

PRIVATE OFFERING EXEMPTIONS FROM REGISTRATION: RULES 506(c) AND 504

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

PRIVATE OFFERING EXEMPTIONS FROM REGISTRATION: RULE 506(b)

Brian Higley, Esq.

Oct 23, 20183 min read

PRIVATE OFFERING EXEMPTIONS FROM REGISTRATION: RULE 506(b)

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

JUDGE APPROVES SEC SETTLEMENT WITH ELON MUSK

Brian Higley, Esq.

Oct 16, 20182 min read

JUDGE APPROVES SEC SETTLEMENT WITH ELON MUSK

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

PRIVATE OFFERING EXEMPTIONS FROM REGISTRATION: SECTION 4(a)(2)

Brian Higley, Esq.

Oct 16, 20183 min read

PRIVATE OFFERING EXEMPTIONS FROM REGISTRATION: SECTION 4(a)(2)

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

PRIVATE PLACEMENT: AN ALTERNATIVE TO PUBLIC OFFERINGS

Brian Higley, Esq.

Oct 9, 20183 min read

PRIVATE PLACEMENT: AN ALTERNATIVE TO PUBLIC OFFERINGS

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

Why did Elon Musk Settle with the SEC so Quickly?: A Reminder of the Heavy Hammer the SEC Holds

Brian Higley, Esq.

Oct 4, 20183 min read

Why did Elon Musk Settle with the SEC so Quickly?: A Reminder of the Heavy Hammer the SEC Holds

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...

SEC SUES ELON MUSK: A LESSON FOR CEOs OF SEC REPORTING COMPANIES

Brian Higley, Esq.

Sep 28, 20182 min read

SEC SUES ELON MUSK: A LESSON FOR CEOs OF SEC REPORTING COMPANIES

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

Brian Higley, Esq.

Sep 27, 20183 min read

Timely Filing SEC Reports

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

Brian Higley, Esq.

Sep 24, 20183 min read

Common SEC Reports

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

Brian Higley, Esq.

Sep 21, 20183 min read

SEC REPORTING REQUIREMENTS

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