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FINRA SEC

How JOBS Act 3.0 Will Affect Alternative Investment Markets

The omnibus bill (The JOBS Act 3.0), as described by Representative Jeb Hensarling in an op ed for the Wall Street Journal, ...
Chris Rohde July 23, 2018 0

SEC

SEC Shifts Focus to Capital Formation

On February 6, 2018, SEC Commissioner Michael Piwowar spoke at the University of Richmond School of Businessas part of its Robins ...
Chris Rohde March 8, 2018 0

SEC

Dallas Sellers Club, Part 3: Punishment for Unregistered Brokerage Activity

This is the third installment in a series of posts about SEC enforcement action against Retirement Surety, LLC, Crescendo ...
Abby Johansen February 6, 2018 0

SEC

Are ICOs Securities?

  With the advent of Initial Coin Offerings (“ICO”), the question of whether they are securities continues to plague the ...
Chris Rohde December 5, 2017 0

SEC

Dallas Seller’s Club, Part 1: The “Gray Area” in Unregistered Brokerage Activity

This is the first installment in a series of posts about SEC enforcement action against Retirement Surety, LLC, Crescendo ...
Abby Johansen October 31, 2017 0

FINRA SEC

“Where Do I Sign?”: E-Signatures Acceptable for Private Investments

Historically, investing in securities has been a largely manual process with documents being mailed or faxed back and forth to be ...
Josh Galante August 16, 2017 0

FINRA SEC

5 Regulatory Changes That Would Benefit the Private Placement Marketplace

1. Verification of accredited investors For an offering exempt from registration under Rule 506(c), the issuer must take ...
Chris Rohde June 29, 2017 1

SEC

Hijacking the Hamiltons: Lessons Learned from Recent Securities Fraud Case

How do some investors end up defrauded of hundreds of thousands, if not millions, of his hard earned money? He meets a fraudster. ...
Chris Rohde March 15, 2017 0

SEC

The Broker Registration Requirement and its Enforcement

The JOBS Act and related regulations have undoubtedly led to new developments in the private equity arena. One effect has been ...
Tim Boykin September 29, 2016 0

SEC

Attorney Sanctioned for Unregistered Broker-Dealer Activity

The SEC crackdown on unregistered entities continues to grab headlines. Recently, we wrote about the importance of complying with ...
Bret Daniel September 13, 2016 0
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