Benjamin Barnhill

Benjamin Barnhill

Nelson Mullins Riley & Scarborough LLP

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Compliance Karma – Check on Rule 701 Exemption

A California tech firm recently settled with the Securities and Exchange Commission (SEC), paying $160,000 for violating Rule 701 of the Securities Act (Rule 701) because the firm failed to provide detailed financial...more

3/30/2018  /  Employee Incentive Plans , Financial Statements , Rule 701 , Securities Act of 1933 , Securities and Exchange Commission (SEC)
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