Today I'm attending the Practising Law Institute's Securities Regulation Institute, the annual educational gathering of mostly big law firm securities lawyers. Keith Higgins, the SEC's very capable head of Corporation Finance, disclosed some interesting stats on how Regulation A+ is going. So far, since the new...
A little known and little used part of Regulation D under the Securities Act is about to get some new attention. In what appears to be a gift to the states after somewhat eviscerating their power with the Regulation A+ changes, the SEC, on October...
I know too many people battling lyme disease. It is a misunderstood and wrongly made fun of illness. It generally comes from bad tick bites. If you treat it quickly with antibiotics it goes away. If you don't you can face a lifetime of challenges....
As reported in the ABA Journal, the unprecedented runaway success of the mobile augmented-reality game Pokemon Go is beginning to create problems in the workplace. For example, as the app directs you to certain places, you could end up in "off limits" areas or a location with...
Two weeks ago, as many were enjoying their summer vacation, the Securities and Exchange Commission exacted a $340,000 penalty from a company called Health Net Inc. Why? Because in firing employees and asking them to sign termination agreements, in order for the departing employee to...
You can't be guilty of money laundering if no money is involved. That's what Miami Judge Teresa Mary Pooler ruled earlier this week. Poor Michell Espinoza, a seller of cryptocurrency Bitcoin, was the subject of a sting by the Secret Service and Miami Beach Police. The...
Several recent articles are suggesting that "the jury is still out" on whether Regulation A+ will indeed usher in a new era of small, cost-effective IPOs. We all knew there would be, as my late sailor father used to say, a shakedown cruise as with...
A few months ago, a BNP Paribas study, reported on by Fortune, confirmed what many of us have been seeing for the last 3-5 years. The millennials, those aged around 20-35, are starting their own businesses at a dramatically higher rate and younger age than...
I have now had a chance to read the 23-page, very well-written, clear and concise DC Circuit court opinion on the Reg A+ challenge brought by two states. The ruling started with a brief history of securities law, how it started with the states but...
A new analysis done by Bloomberg tells us what many have been saying for a long time. Female entrepreneurs simply don't get their fair share of venture capital dollars, at least in the tech world where they did their research. On average they got 77%...