In an effort to keep up with the monitoring of, and response to, the effects and evolving dynamics of the COVID-19 pandemic, on April 24, 2020, the Securities and Exchange Commission (SEC) announced the formation of an...more
The following joint statement was issued this last week from the Enforcement Directors of the Securities Exchange Commission and Commodity Futures Trading Commission...more
1/22/2018
/ Bitcoin ,
Blockchain ,
CFTC ,
Cryptocurrency ,
Digital Currency ,
Distributed Ledger Technology (DLT) ,
Enforcement Actions ,
Financial Markets ,
Initial Coin Offering (ICOs) ,
Investment ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Virtual Currency
The Securities and Exchange Commission (SEC) has adopted final rules modernizing and expanding the ways in which smaller companies can raise capital.
Rule 147 of the Securities Act of 1933, as amended, provides a safe...more
10/31/2016
/ Capital Raising ,
Crowdfunding ,
Doing Business ,
Financial Institutions ,
Financial Markets ,
Public Offerings ,
Regulation D ,
Residency Status ,
Rule 147 ,
Rule 504 ,
Safe Harbors ,
Securities ,
Securities Act ,
Securities and Exchange Commission (SEC) ,
Transacting Intrastate Business