News & Analysis as of

NSMIA

‘Excuse Me, While I Kiss the [Blue] Sky’: Common State Securities Law Considerations Applicable to U.S. Private Offerings by...

by Hodgson Russ LLP on

The wires have hit. You’ve just closed a multijurisdictional offering and delivered a great result for your client. As visions of a raucous post-closing party with your client enter your mind (or perhaps just visions of a...more

SEC Denies Motion to Stay Regulation A+

On June 5, 2015, Monica J. Lindeen, Montana State Auditor, ex officio Commissioner of Securities and Insurance, filed a motion with the SEC for a stay of the Regulation A+ rules, which are scheduled to become effective this...more

American Icon Amends Stock Plan To Make It Section 25102(o) Eligible – Why?

by Allen Matkins on

Section 102 the National Securities Markets Improvement Act (which amended Section 18 of the Securities Act of 1933) deems securities listed (or authorized for listing) on the NYSE, the American Stock Exchange or the National...more

The NSMIA Didn’t Lay A Preemptive Finger On These Transactions

by Allen Matkins on

Last week, I was in Washington D.C. where I served as the moderator of a panel discussion on current securities law issues for small business. As part of my presentation, I discussed the following list of securities...more

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