We were recently reminded of how difficult it is to re-register for a position in the securities industry after being barred. See https://www.sec.gov/litigation/admin/2021/ia-5682.pdf.
On February 9, 2021, the United States
Continue Reading Leaving is the Hardest Part Especially if You Want to Re-Enter the Securities Industry
Last week, the Securities and Exchange Commission announced that effective October 1, 2015, filing fees that public companies and other issuers pay to register their securities with the Commission will
Continue Reading SEC Reduces Registration Statement Filing Fees Again
Business development company representatives petitioned the SEC to “modernize” its rules pertaining to such entities. BDCs are a type of private company that invests in small and mid-sized businesses.
Investors in certain condominium units asked the United States Supreme Court to review a federal appeals court’s conclusion that the sale of the units, when coupled with a separate rental-management
Continue Reading CONDO UNITS AND SECURITIES – NOT A MATCH MADE IN HEAVEN
Brokers may finally see the light at the end of the expungement tunnel. Over the last month, registered representatives have received some surprisingly good news relating to their CRD licensing
Continue Reading Is There a Light at the End of the Tunnel? CRD Black Hole May be Ending…
Yesterday, the SEC proposed rules to implement Section 201(a) of the JOBS Act, which mandates the elimination of the prohibition against general solicitation in Rule 506 and Rule 144A offerings.
Continue Reading JOBS Act-ion: SEC Publishes Proposal for New Rule 506
It’s a rare day when I can say, with unadulterated smugness, “I was right.” So today is doubly rare, as I can say it twice.
Manchester United – the world’s
Continue Reading The Biggest Team in the Universe is an Emerging Growth Company
In its never ending quest to find suitable ways to address capital formation issues in the United States, the SEC’s Division of Corporation Finance is looking to see if foreign jurisdictions
Continue Reading IS IT POSSIBLE TO FIND CAPITAL FORMATION SUCCESS OVERSEAS?
Fox Rothschild just issued another Corporate Alert on Crowdfunding. The first was written by Michael Harrington, and I helped him with our latest. These are just a few
Recently, the SEC announced that it would take steps to bar felons and bad actors from any Regulation D offering.
This rule was mandated by the Dodd-Frank Act, and the
Continue Reading No More Felons and Other Bad Guys in Regulation D Offerings