On November 2, 2020, the Securities and Exchange Commission (SEC) voted to amend certain rules related to the issuance of securities in exempt offerings—transactions in which the securities sold by the issuer do not need to...more
SEC Proposes to Allow Finders to Receive Transaction-Based Compensation in Certain Limited Circumstances Without Having to Register as a Broker-Dealer-
In an effort to help small and emerging businesses raise capital, the...more
As required by the Dodd-Frank Act, the SEC on July 10, 2013, adopted final Rule 506(d) to "disqualify felons and other bad actors" from Regulation D private offerings. New Rule 506(d) identifies persons and triggering events...more
8/26/2013
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Advertising ,
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Compliance ,
Dodd-Frank ,
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Exemptions ,
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Regulation D ,
Rule 506 Offerings ,
Securities and Exchange Commission (SEC)