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 [...]

What is an Accredited Investor?

Accredited investors must meet specific criteria outlined by the U.S. Securities and Exchange Commission


The advancement of computer software has made data analytics a very powerful enforcement tool for [...]

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 [...]

What is a Rescission Offer?

A rescission offer takes place when an issuer offers to repurchase an investor’s securities and [...]

What is the Securities Act of 1933?

The Securities Act of 1933 was drafted by Commissioner Huston Thompson of the Federal Trade [...]

Securities Law Violator – The SEC Charges Repeat Violator

The Securities and Exchange Commission (“SEC”) charged Antonio Bravata, a repeat securities law violator, with [...]

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 [...]