The Law of the Financial Markets from Top Securities Lawyers
Saturday, March 15, 2025
Rule 506 Exemption Rule 506 of Regulation D of the Securities Act of 1933 is an exemption from the registration requirements of the Securities Act for certain private securities offerings. This rule allows issuers to raise an unlimited amount of capital from an unlimited number of accredited investors, and up […]
SEO Title: Understanding the Evolving Accredited Investor Definition: A Comprehensive SEC Report Analysis Introduction to the SEC’s Review of Accredited Investors The SEC has released an in-depth staff report concerning the definition of an accredited investor. This action aligns with the Dodd-Frank Wall Street Reform and Consumer Protection Act mandates, […]
In the appropriate case in our securities defense practice, we sometimes advise clients to self-report a violation and the client’s efforts to correct the violation. The rationale is that the SEC views self-reporting in a positive light when determining sanctions, and the reporting can avoid lengthy and costly investigations and […]
Section 3(a)(11) of the Securities Act of 1933, Rule 147, the “intrastate offering exemption,” grants relief from the registration requirements of the Securities Act for securities that are offered and sold exclusively to individuals residing within a single State or Territory. To qualify for this exemption, the issuer of the […]
SEC Obtains Preliminary Injunction and Asset Freeze Against Legend Venture Partners Introduction In a significant development, the Securities and Exchange Commission (SEC) has taken decisive action against Legend Venture Partners LLC, an unregistered broker-dealer based in New York City. The SEC’s move comes in response to the discovery of a […]
Marcum LLP Faces SEC Charges for Audit Quality Control Failures In a significant development, audit firm Marcum LLP has come under scrutiny by the Securities and Exchange Commission (SEC) for its systemic quality control failures and violations of audit standards. The charges are particularly related to its audit work for […]
On March 3, 2023, the Securities and Exchange Commission (SEC) charged Silver Edge Financial LLC, Equity Acquisition Company Ltd. (EAC), their owners, and sales staff with unregistered broker-dealer activity related to their sales of interests in shares of various pre-IPO companies. In this article, we will discuss the details of […]
Going public is an exciting milestone for any company. It is a crucial step that brings with it a lot of advantages and opportunities, such as access to new capital, increased visibility, and enhanced credibility. However, the process of going public can be quite complex and challenging. In this article, […]
Jan. 25, 2023 — The SEC today proposed a rule to implement Section 27B of the Securities Act of 1933, a provision added by Section 621 of the Dodd-Frank Act. The rule is intended to prevent the sale of asset-backed securities (ABS) that are tainted by material conflicts of interest. Specifically, […]
What is Regulation CF? Regulation CF’s crowdfunding rules are in Section 4(a)(6) of the Securities Act. It allows startups and small businesses to use the internet to raise capital through equity investments from a large number of investors. Regulation CF is available for offerings up to $1 million, giving accredited […]
