Investment Platforms:
See how we protect your investors and your platform. Learn more about our servicesIn an earlier blog post, we mentioned that while Regulation A preempts state review of offerings under Tier 2 of…
The SEC has published a Concept Release on the Harmonization of Securities Offering Exemptions. The SEC summarizes the…
Well, I already blogged about the zombies of the crowdfunding world, so let’s look at the vampires too. Those…
Online securities platforms should be paying attention to the Lorenzo case, which the Supreme Court decided last month…
Regulation A is an exemption from registration of securities under the Securities Act of 1933. At the same time, it is…
April is coming, when Reg A filing companies must file their annual reports. And, as has happened in the past, some…
Since our last update in September 2017, we have learned a lot about the process for companies to register as issuer-…
With the recent SEC proposal that would permit all companies, as opposed to just “emerging growth companies,” to talk…
The ongoing government shutdown is hurting startups. Regulation A was amended in 2015 to give early-stage companies a…
Deviating from its standard rulemaking procedures, the SEC issued final rules on December 19, 2018 to expand the…
I wrote this and posted it on my personal blog at the time of the Christmas 2012 Shutdown. Unfortunately, it seems just…
On December 7, 2018, FINRA released its 2018 Report on Examination Findings. This is the second annual report FINRA has…