Charles Hertlein, Jr.

Charles Hertlein, Jr.

Dinsmore & Shohl LLP

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Rule Change Will Allow Businesses to Advertise Private Offerings

In early July, the SEC commissioners voted to eliminate a long-standing rule that prohibited general solicitation of investors and thereby will allow business entities greater leeway to advertise private offerings. The SEC’s...more

7/17/2013 - Advertising General Solicitation JOBS Act Private Placements Regulation D Rule 144A Rule 506 Offerings SEC

New SEC Identity Theft Red Flag Regulations Call Attention to Investment Advisers

It is probably fair to say most registered investment advisers, at least those below a certain size, did not pay a great deal of attention to the anti-identity theft, or “red flag” rules jointly adopted by the Federal Trade...more

5/21/2013 - CFTC FCRA Identity Theft Investment Adviser Red Flags Rule Regulation S-ID SEC

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