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
Jumpstart Our Business Startups (JOBS) Act
New Fox Rothschild Human Resources Blog
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We wanted to introduce you to the new Fox Rothschild Human Resources blog started by our partner, Francis Cook. njhumanresources.foxrothschild.com. We hope you enjoy it!! Continue Reading New Fox Rothschild Human Resources Blog
Unshocking Non-Development! SEC Will Miss Deadline on Rules 506 & 144A Changes
By Fox Rothschild LLP on
In a move that surprised absolutely no one, SEC chairwoman Mary Schapiro stated in testimony before a House Subcommittee that the SEC would not make the July 4th deadline set by Congress…
Continue Reading Unshocking Non-Development! SEC Will Miss Deadline on Rules 506 & 144A Changes
Interview on LXBN TV
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America – Home of the European IPO
By Fox Rothschild LLP on
Big news out of Europe today (besides fears of a Greek exit from the Euro returning like a slasher flick monster that just won’t die): Michel Barnier, the EU’s top…
More Crowdfunding Analysis from Fox
By Fox Rothschild LLP on
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…
SEC WARNING ON UNAUTHORIZED TRADING
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The SEC issued an alert intending that firms detect and prevent unauthorized trading in brokerage and advisory accounts.
This release related to certain risks the SEC’s Office of Compliance Inspections…
SEC AND CFTC LAUNCH AN ANTI MONEY LAUNDERING GROUP
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The SEC and CFTC launched a working group to discuss and identify money laundering vulnerabilities.
These issues have lingered for awhile. Both agencies believe that there is an opportunity to…
Continue Reading SEC AND CFTC LAUNCH AN ANTI MONEY LAUNDERING GROUP
No More Felons and Other Bad Guys in Regulation D Offerings
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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
SEC COOPERATION. . . IT SEEMS TO PAY
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In late February, a judge from the United States District Court for the Southern District of New York approved a settlement where a former executive and analyst cooperated with the…