House Passes Codification of Private Stock Resale Exemption
Earlier this month, the US House of Representative unanimously passed...
29
Oct
23
Oct
SEC Announces Record Enforcement Year
Yesterday, the Securities and Exchange Commission proudly announced what Law360...
22
Oct
SEC Clarifies “Pre-Existing Substantive Relationship” In Regulation D 506(b) Offerings
How's that for an exciting blog post title? Actually for...
19
Oct
15
Oct
Supremes Refuse Insider Trading Case- Prosecutions Now Tougher
Last week, the US Supreme Court said it would not...
14
Oct
FINRA Requires BrokerCheck Link on Websites
The Financial Industry Regulatory Authority (FINRA) regulates US broker-dealers, a...
12
Oct
Tribal Nations to Take Cannabis Cash?
According to Bloomberg, the Native Americans are getting ready to...
09
Oct
Cuba: Risky? Great Opportunity? Both!
I attended a two-day Wharton School-sponsored conference on upcoming business...
25
Sep
23
Sep
23
Sep
SEC Advisory Group Recommends Private Placement Finders be Exempted from Broker Registration
Earlier today, the SEC's Advisory Committee on Small and Emerging...
18
Sep
Profanity is Protected Speech on Traffic Ticket
Feel free to express yourself when paying a traffic ticket,...