Author Archives: Securities_Legal_Admin

SEC Proposes to Expand the Definition of an Accredited Investor

How is the definition of an accredited investor being expanded? The proposed rule will amend [...]

The Removal of Restrictive Legends from Stock Certificates: How to Comply with Rule 144 as a Non-affiliate

How to Comply with Rule 144 as a Non-Affiliate What is Rule 144? Rule 144 [...]

Mergers and Acquisitions – What it Means to Your Business

Mergers and Acquisitions Explained Mergers and acquisitions are an integral part of how industries are [...]

SEC Charges Repeat Securities Law Violator

August 13, 2019 The Securities and Exchange Commission (“SEC”) charged Antonio Bravata, a repeat securities [...]

Materiality and the “Substantial Likelihood Test”

Materiality in is a type of fraud, because it uses informational defects to evade a [...]

EXPERT HELP FOR YOUR PRIVATE PLACEMENT

We recently posted about the advantages of a Private Placement Memorandum (ppm), and the necessity [...]

Functions of Securities Markets

Capital Formation, Liquidity, and Risk Management The three basic functions of securities markets are: capital [...]

DON’T IGNORE THE IMPORTANCE OF TERM SHEETS

According to Forbes, “The term sheet is one of the most critical documents an entrepreneur [...]

IS INVESTING SAFE DURING THE GOVERNMENT SHUTDOWN?

On Thursday, December 27, 2018 the Securities and Exchange Commissionbegan operation within its plan during [...]

Jobs Act of 2012

The JOBS (Jumpstart Our Business Startups) Act of 2012, is an amendment to both the [...]