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Broker Registration Real Estate Securities General Solicitation

The Howey Test: When is a Real Estate Interest a Security?

The real estate industry adopted the provisions of the JOBS Act, particularly general solicitation using 506(c), earlier and more ...
Tim Boykin April 10, 2018 0

SEC ICO Regulation Securities

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

Compliance Securities Issuers

Why You Should Worry About Blue Sky Filings

On the federal level, when you sell a security in the United States, you must either register that security or sell it under a ...
Chris Rohde February 12, 2018 1

SEC Broker Registration Securities

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 Securities ICO

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

Real Estate Securities Compliance Broker Registration

4 Lessons to Learn from a Recent FINRA Enforcement Action

  FINRA recently filed a disciplinary proceeding against a large southeastern broker dealer and two of its principals. The ...
Tim Boykin November 27, 2017 0

Securities Broker Registration

Dallas Seller’s Club, Part 2: When is a Note a Security?

This is the second installment in a series of posts about SEC enforcement action against Retirement Surety, LLC, Crescendo ...
Abby Johansen November 20, 2017 0

Broker Registration Compliance SEC Securities

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

Securities Compliance

What's a Security? The Legal Aspects of Raising Money from Private Investors

The following is a guest post written by Kim Lisa Taylor. Kim and the other members of the Syndication Attorneys team focus on ...
Kim Lisa Taylor May 15, 2017 0

SEC Compliance Securities

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
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