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General Solicitation Broker Registration Securities Real Estate

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

Regulation SEC Securities ICO

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

Securities Compliance 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

Broker Registration SEC 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

Broker Registration Securities Real Estate Compliance

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

Broker Registration Securities

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 SEC Securities Compliance

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 Securities Compliance

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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