Steven Watts

Steven Watts

Dinsmore & Shohl LLP

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SEC Cracks Down on Unregistered Broker-Dealers in Private Offerings

The Securities and Exchange Commission (SEC) staff appears to be focusing on the broker-dealer registration issue in the context of private securities marketing activities. Recent SEC enforcement actions demonstrate there are...more

7/16/2013 - Broker-Dealer General Solicitation JOBS Act Private Placements Rule 506 Offerings SEC Securities Act of 1933

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