Tag: Securities Law

Securities and Exchange Commission
Enforcement Primer

Introduction to SEC Investigations

Introduction SEC Investigations, and ultimately SEC enforcement proceedings, can be disruptive, and devastating events for individuals and corporations. Next to hiring an experienced securities defense attorney, knowing what to expect during the investigation will help you achieve your desired result. As former SEC Staff Attorneys, and Securities Defense Attorneys, the attorneys […]

Corp Finance

Rule 147: The Intrastate Exemption Explained

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 […]

JP Morgan

JPMorgan Chase announces layoffs

July 12, 2023 – JPMorgan Chase revealed plans to terminate a number of positions in its Jersey City, New Jersey, branch. The planned layoffs are scheduled to occur in September, according to the notice. As the biggest U.S. lender, JPMorgan’s workforce totaled 296,877 at the close of the first quarter, […]