Category Archives: Securities Regulation
Is a Regulation A+ Offering Right for Your Company?
Reg A is a mini-initial public offering (“IPO”) because the requirements are more flexible than [...]
Aug
What is an Accredited Investor?
Accredited investors must meet specific criteria outlined by the U.S. Securities and Exchange Commission
Aug
DATA ANALYTICS – A POWERFUL ENFORCEMENT TOOL FOR THE SEC
The advancement of computer software has made data analytics a very powerful enforcement tool for [...]
Mar
The Insider Trading Prohibition ACT – Should it Pass in the Senate?
On December 5, 2019, the U. S. House of Representatives passed H. R. 2534, known [...]
Mar
What is a Rescission Offer?
A rescission offer takes place when an issuer offers to repurchase an investor’s securities and [...]
Mar
What is the Securities Act of 1933?
The Securities Act of 1933 was drafted by Commissioner Huston Thompson of the Federal Trade [...]
Mar
Securities Law Violator – The SEC Charges Repeat Violator
The Securities and Exchange Commission (“SEC”) charged Antonio Bravata, a repeat securities law violator, with [...]
Aug
Regulation A+ Offers Reporting Companies an Attractive Way to Raise Capital
Until January 31, 2019, Regulation A+ (“Reg. A”) was not available to reporting companies under [...]
Feb