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Latest SEC News- Tai Mo Shan to Pay $123 Million for Negligently Misleading Investors About Stability of Terra USD December 20, 2024
- SEC Adopts Rule Amendments to the Broker-Dealer Customer Protection Rule December 20, 2024
- SEC Files Settled Charges Against Multiple Entities for Failing to Timely File Forms D in Connection With Securities Offerings December 20, 2024
- SEC Charges Silver Point Capital with Policy Failures Regarding Receipt of Material Nonpublic Information About Bonds Issued by Puerto Rico December 20, 2024
- Deutsche Bank Subsidiary to Pay $4 Million for Untimely Filing Certain Suspicious Activity Reports December 20, 2024
Monthly Archives: September 2013
SEC Extends Comment Period for JOBS Act Rule 506 Proposed Rulemaking – Is the SEC About to Pivot?
September 23, 2013 kicked off an historic period in federal securities laws. For the first time in 80 years companies would be allowed to publicly solicit investors in unregistered private placements so long as all of the investors were accredited. … Continue reading
Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, Congressman Patrick McHenry, crowdfundinsider, equity crowdfunding, final SEC rules, Form D, general solicitation, Guzik and Associates, JOBS Act, Milken Institute, private placements, proposed rules, proposed SEC rules, regulation d, Rule 506, samuel guzik, SBA office of Advocacy
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IT’S THE JOBS ACT, STUPID!
Still Time to Comment on SEC’s Proposed Regulation D General Solicitation Rules? On July 10, 2013, the SEC issued its final rules allowing general solicitation and advertising in unregistered private placements, provided all of the investors were accredited, effective September … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, final SEC rules, general advertising, general solicitation, Guzik and Associates, JOBS Act, Office of Advocacy, Patrick McHenry, private placements, proposed SEC rules, public solicitation, regulation d, Rule 506, samuel guzik, SBA, sec
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Preparing for (Regulation) D-Day – September 23, 2013
“The better part of valor is discretion, in the which better part I have sav’d my life.” Henry the Fourth, William Shakespeare, Part I, Act 5, scene 4. * * * * * As featured in CrowdfundInsider on September 17, … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, advertising, candace klein, Crowdfunding, ellenoff grossman and schole, final SEC rules, general soliciitation, JOBS Act, Ohio Division of Securities, private placements, regulation d, Rule 506, samuel guzik, SoMoLend
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SEC Regulation D and Rule 506 – Speak Now or Forever Hold Your Peace
On July 10, 2013, the SEC issued proposed rules to amend Regulation D. The rules, if adopted, would place significant conditions on the use of new Rule 506(c) promulgated under the JOBS Act. Rule 506(c), as will be in effect … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
Tagged accredited investors, california securities attorney, crowdfunding attorney, crowdfunding lawyer, equity crowdfunding, Forbes, Form D, general advertising, general solicitation, Guzik and Associates, JOBS Act, private placements, proposed SEC rules, Rule 506, samuel guzik, sec, SEC crowdfunding regulations, SEC lawyer, securities attorney, securities lawyer
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