Aaron O'Brien

Aaron O'Brien

BakerHostetler

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SEC Adopts Final Rules to Implement "Regulation A+"

As part of its mandate under the JOBS Act to facilitate capital raises by smaller companies and emerging businesses and its continuing effort to broaden the number of investment options for investors, the Securities and...more

5/27/2015 - Emerging Growth Companies Final Rules JOBS Act Regulation A SEC Small Offering Exemptions

The Empire State Strikes Back: New York Proposes Rules for Virtual Currency

The New York State Department of Financial Services (the “Department”) recently published its proposed rules and regulations (the “Proposed Rules”) for vendors conducting business involving virtual currency. The Proposed...more

8/11/2014 - Advertising AML/CFT Bitcoins BitLicense Chief Compliance Officers CIP Licenses Licensing Rules Marketing OFAC Popular Proposed Regulation Regulatory Standards SDN List State and Local Government Virtual Currency

SEC Releases Proposed Rules on Regulation A-Plus

In yet another effort to display Congress' commitment to the "democratization of access to capital," the Securities and Exchange Commission (the "SEC") has proposed rule amendments to Regulation A under the Securities Act of...more

1/15/2014 - JOBS Act Regulation A SEC Securities Act of 1933 Title IV

Amended Rule 506 - Lifting the Ban on General Solicitation

At its July open meeting, the Securities Exchange Commission (SEC) approved a rule proposal to amend Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 (the Securities Act)....more

9/9/2013 - Advertising Broker-Dealer Dodd-Frank General Solicitation JOBS Act Regulation D Rule 144A Rule 506 Offerings SEC Securities Act of 1933

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