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Public Companies Take Note: SEC Launches Enforcement Initiative Targeting Section 16 and Other Shareholder Filings

The Securities and Exchange Commission (SEC) recently announced charges against 28 public company officers, directors and ten percent shareholders for repeated violations of federal securities laws requiring them to promptly...more

9/24/2014 - Compliance Disclosure Requirements Enforcement Enforcement Actions SEC Section 16 Shareholders

Guidance Provides Path Forward for Accredited Investor Verification

As mandated by Congress in Section 201(a) of the Jumpstart Our Business Startups Act, in July 2013 the Securities and Exchange Commission (SEC) amended Rule 506 under Regulation D of the Securities Act of 1933, creating a new...more

7/18/2014 - Accredited Investors Amended Regulation C&DIs General Solicitation Registration Regulation D Rule 506(c) SEC Verification Requirements

Recent Developments for Intrastate Crowdfunding and Social Media Use

In June 2013, the N.C. House of Representatives approved HB 680, the Jumpstart Our Business Startups Act (NC JOBS Act) by an overwhelming bipartisan vote of 103-1. Designed to utilize the “intrastate offering” exemption found...more

6/3/2014 - C&DI Crowdfunding JOBS Act Offerings Popular Proposed Legislation Public Offerings Registration SEC Securities Act of 1933 Small Business Small Offering Exemptions Startups Transacting Intrastate Business

JOBS Act Update: SEC Proposes New Rules to Update Regulation A Offerings

In mid-December, the Securities and Exchange Commission (SEC) voted to propose rules updating the framework to the existing Regulation A offering. The rules would implement new Section 3(b)(2) of the Securities Act of 1933,...more

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

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