News + Insights

The new “bad actor” rules promulgated by the Securities and Exchange Commission (“SEC”) in Rule 506 require issuers to take “reasonable care” to verify…

There can’t be a vibrant securities market without deal makers.  Someone has to bring buyers and sellers together so they can do deals.  Traditionally,…

The IPO On-Ramp, unlike most other provisions, of the Jumpstart Our Business Startups Act (“JOBS Act”) did not require rulemaking by the Securities and…

Companies with over $10 million in assets and which have a certain number of “record holders” of a class of securities must register under…

The Jumpstart Our Business Startups Act (“JOBS Act”) amends Section 3(b) of the Securities Act of 1933 (“Securities Act”) to require that the Securities…

The Basics –– Technology Platform Operators and Issuers “Crowdfunding,” the selling of small securities offerings in small increments to many buyers (“Crowd”), may have…

General Background “Regulation D” allows for certain securities offerings to be exempt from the registration requirements of Section 5 of the Jumpstart Our Business…