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 [...]
Jan
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 [...]
Jan
Mergers and Acquisitions – What it Means to Your Business
Mergers and Acquisitions Explained Mergers and acquisitions are an integral part of how industries are [...]
Sep
SEC Charges Repeat Securities Law Violator
August 13, 2019 The Securities and Exchange Commission (“SEC”) charged Antonio Bravata, a repeat securities [...]
Aug
Materiality and the “Substantial Likelihood Test”
Materiality in is a type of fraud, because it uses informational defects to evade a [...]
May
EXPERT HELP FOR YOUR PRIVATE PLACEMENT
We recently posted about the advantages of a Private Placement Memorandum (ppm), and the necessity [...]
May
Functions of Securities Markets
Capital Formation, Liquidity, and Risk Management The three basic functions of securities markets are: capital [...]
May
DON’T IGNORE THE IMPORTANCE OF TERM SHEETS
According to Forbes, “The term sheet is one of the most critical documents an entrepreneur [...]
May
IS INVESTING SAFE DURING THE GOVERNMENT SHUTDOWN?
On Thursday, December 27, 2018 the Securities and Exchange Commissionbegan operation within its plan during [...]
May
Jobs Act of 2012
The JOBS (Jumpstart Our Business Startups) Act of 2012, is an amendment to both the [...]
May