As broker-dealers prepare to implement policies to comply with the SEC’s Regulation Best Interest (Reg BI), one requirement they ...
March 20, 2020
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The omnibus bill (The JOBS Act 3.0), as described by Representative Jeb Hensarling in an op ed for the Wall Street Journal, ...
July 23, 2018
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On February 6, 2018, SEC Commissioner Michael Piwowar spoke at the University of Richmond School of Businessas part of its Robins ...
March 8, 2018
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This is the third installment in a series of posts about SEC enforcement action against Retirement Surety, LLC, Crescendo ...
February 6, 2018
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With the advent of Initial Coin Offerings (“ICO”), the question of whether they are securities continues to plague the ...
December 5, 2017
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This is the first installment in a series of posts about SEC enforcement action against Retirement Surety, LLC, Crescendo ...
October 31, 2017
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Historically, investing in securities has been a largely manual process with documents being mailed or faxed back and forth to be ...
August 16, 2017
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1. Verification of accredited investors For an offering exempt from registration under Rule 506(c), the issuer must take ...
June 29, 2017
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How do some investors end up defrauded of hundreds of thousands, if not millions, of his hard earned money? He meets a fraudster. ...
March 15, 2017
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The JOBS Act and related regulations have undoubtedly led to new developments in the private equity arena. One effect has been ...
September 29, 2016
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