Month: January 2024


SEC Charges Northern Star SPAC for Material Misrepresentations in its IPO-Related Disclosures

SEO Title: SEC Charges Northern Star SPAC for Misleading IPO Disclosures Introduction In a significant development, the Securities and Exchange Commission (SEC) has taken action against Northern Star Investment Corp. II, a special purpose acquisition company (SPAC), for alleged material misrepresentations in its initial public offering (IPO) disclosures dating back […]

Securities and Exchange Commission
Compliance Corp Finance

SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections

Washington D.C., Jan. 24, 2024 New Rules for Investor Protections The Securities and Exchange Commission today adopted new rules and amendments to enhance disclosures and provide additional investor protection in initial public offerings (IPOs) by special purpose acquisition companies (SPACs) and in subsequent business combination transactions between SPACs and target […]

FAQ Featured Articles Investors Primer Securities Law Dictionary

Understanding What is a Security?

A security is a form of ownership in an entity. While some believe that in order to be a security the instrument must be traded on a market, the legal definition of a security is much broader. The definition is important, because if the instrument is a security, then the federal and state securities laws apply to the purchase and sale of that instrument. We define and explain the different types of securities


$93 Million Real Estate Investment Fraud

Washington D.C., Jan. 3, 2024 — The SEC has recently secured an asset freeze and other urgent measures in response to a suspected $93 million real estate investment scam. The main figure in this scandal is Rishi Kapoor, a Miami-based property developer. This case also implicates Location Ventures LLC, Urbin […]