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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: December 2014
Investment Crowdfunding in 2015: A Much Needed Thaw in the Regulatory Gridlock*
[Author’s Note: The below article was cited as authority by Jonathan Ortmans, Senior Fellow, in an article appearing on The Kauffmann Foundation Blog on January 5, 2015 http://bit.ly/1zPGC7u] For many focused on opening up new avenues of capital formation for … Continue reading
Posted in Capital Raising, Corporate Governance, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
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A Look at the Year Ahead in Washington DC for JOBS Act 2.0 and SEC Rulemaking: Regulation A+ is Around the Corner
Many of you who have been following the unfolding of the various provisions of the JOBS Act of 2012. And some of you have been asking: Where are those damn Regulation A+ and investment crowdfunding final rules the SEC has … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
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House Passes SEC Disclosure Modernization and Simplification Act of 2014
In what is likely to be a precursor of what can be expected when the 114th Congress convenes in January 2015, with a Republican-controlled House and Senate, the House on December 3 overwhelmingly approved H.R. 4569, entitled “Disclosure Modernization and … Continue reading
Posted in Capital Raising, Crowdfunding, General, SEC Developments
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On the Misplaced Priorities of Dodd-Frank & the SEC: A Call for a “New Deal” in Washington for America’s Small Business
[Note – The picture above is Circa 1932, New York, NY: a Depression Era “Sweat Shop.” Pictured fifth from the right is the author’s Grandfather, Samuel Guzik] It could have been the kickoff of a grand political campaign – a … Continue reading
Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, General, SEC Developments
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