Speaker – Syndication Lawyers Regulation A+ and Crowdfunding Workshop, December 9, 2015, Santa Ana, CA
Speaker – Syndication Lawyers Regulation A+ and Crowdfunding Workshop (Regulation A, Regulation D, SEC and state regulator activity, technology and compliance providers), December 9, 2015, Doubletree Club Hotel, 7 Hutton Centre Dr., Santa Ana, CA.Read More
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 my last regulatory action update,Read More