FinLaw: What are the Top Priorities of the SEC?
- By: admin
- Dec 8
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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 MoreSpeaker – Master Class: Real Estate Alternative Financing, November 18, 2015, NYC
- By: admin
- Nov 19
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Speaker – Master Class: Real Estate Alternative Financing (Crowdfunding, Reg A+, Reg D, Rule 506(c), Direct Public Offering), November 18, 2015, 800 Third Avenue, New York, NY.
Read MoreFinlaw: To Tap the Full Benefits of Reg A+, Test the Waters Before Diving In
- By: admin
- Nov 9
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While we are waiting for the 180 days or so before Regulation Crowdfunding becomes effective, an issuer may wish to consider other options presently available that permit nonaccredited investor participation. Reg A+ offers some attractive options for a small issuer that needs to raise capital to grow its business. You can raise up to fifty
Read MoreFinLaw: JOBS Act Regulatory Action Update
- By: admin
- Nov 4
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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 JOBS Act, White made clear
Read MoreSpeaker, OTC Markets Regulation A+ Roundtable, October 20, 2015 in NYC
- By: admin
- Oct 21
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Speaker at OTC Markets Regulation A+ Roundtable, October 20, 2015 at the OTCQX Market Center, 304 Hudson Street, New York, NY, including such topics as testing the waters, costs, free tradability of the shares, and the development of venture exchanges, onboarding to OTC and other mechanisms to establish liquidity.
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