Category Archives: Uncategorized

INVESTMENT FRAUD SCHEMES and the COVID-19 PANDEMIC – BEWARE!

Beware of Investment Fraud Schemes! The Securities and Exchange Commission has issued an alert to [...]

Accredited Investor – The SEC Proposes to Expand the Definition

An accredited investor – How is the definition being expanded? The proposed rule will amend [...]

Mergers and Acquisitions – What it Means to Your Business

Mergers and acquisitions are an integral part of how industries are shaped. They can allow [...]

Materiality and the “Substantial Likelihood Test”

What is Materiality? Materiality is a type of fraud because it uses informational defects to [...]

Functions of Securities Markets

Capital Formation, Liquidity, and Risk Management The three basic functions of securities markets are capital [...]

JOBS Act of 2012

What does the JOBS Act of 2012 do? This gives small companies the ability to [...]

What is a General Solicitation?

General Solicitation is the act of marketing a capital raise publicly. Rule 506(b) of Regulation [...]