FOR IMMEDIATE RELEASE 2016-266 Washington D.C., Dec. 16, 2016 —The Securities and Exchange Commission today announced settled cease-and-desist proceedings against the CEO of a Utah-based broker-dealer and two registered persons associated with the firm for causing the firm’s violations of SEC market structure rules, and contested administrative and cease-and-desist proceeding against the firm for the…

There have been recent rules adopted by the Securities and Exchange Commission.  The Bradshaw Law Group focuses on federal securities laws, such as private placement offerings, initial public offerings and other securities offerings.  We represent clients from across the United States.  While the Bradshaw Law Group has been in business, the securities and exchange commission…

The SEC promulgated Rule 421 of the Securities Act of 1933 (the “Act”) through Regulation C whereby the SEC requires the prospectus for a registration statement (usually on a Form S-1) to be written in “Plain English.” Writing in Plain English requires, at a minimum, the following: Definite, concrete, everyday language; short sentences; active voice;…