Regulation

FinLaw: What are the Top Priorities of the SEC?

Some recent Securities and Exchange Commission (SEC) actions should be carefully reviewed by issuers, funding platforms and portals.  This is because they provide stark warning to those who sell securities over the internet but who do not comply with the federal securities laws. Unregistered broker-dealer Activity, Yet Another Example In[…]

FinLaw: JOBS Act Regulatory Action Update

During her keynote address at the 47th Annual Securities Regulation Institute on October 28, 2015, SEC Chairman Mary Jo White reminded us that the securities industry is an industry closely monitored by its regulators.  While the speech focused attention on the dramatic changes in capital raising now permissible through the[…]