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SEC Commissioner Comments On JOBS Act; Immigration Reform

On May 18, 2013, SEC Commissioner Luis A. Aguilar spoke at the annual gala of the Georgia Hispanic Chamber of Commerce, using the opportunity to highlight the contributions of immigrants (and Hispanic immigrants in...more

5/22/2013 - Immigration Reform JOBS Act Regulation A SEC

New FAQs On Broker-Dealer Registration Exemption

On February 5, 2013, the SEC released FAQs regarding Section 201 of the JOBS Act, which offers a new limited exemption from broker-dealer registration....more

2/8/2013 - Accredited Investors Broker-Dealer Exemptions JOBS Act Registration Rule 506 Offerings SEC Securities

Securities Law Essentials For Growing Companies

We recently gave a presentation at a CLE titled Securities Law Essentials for Growing Companies. The presentation included an overview of what constitutes a public offering, what is a security, classical private placements,...more

1/16/2013 - Broker-Dealer Dodd-Frank JOBS Act Private Placements Safe Harbors Securities

FINRA Releases FAQs On Private Placement Notice Filing Rule

On December 3, 2012, FINRA released a set of FAQs relating to new Rule 5123, which went into effect on December 3 and requires FINRA members to file with FINRA copies of the private placement memorandum, term sheet, or other...more

12/10/2012 - Crowdfunding FINRA JOBS Act Private Investment Funds SEC Securities

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