Author Archives: Securities_Legal_Admin
What is General Solicitation when Selling and Marketing Securities?
General Solicitation is the act of marketing a capital raise publicly. Rule 506(b) of Regulation [...]
May
SEC Charges Two Advisory Firms with Mutual Fund Share Class Disclosure Violations
SOn December 21, 2018, the Securities and Exchange Commission (“SEC”)announced settled charges against New York-based [...]
May
SEC Charges Two Celebrities with Unlawfully Touting Initial Coin Offerings
On November 29, 2018, the Securities and Exchange Commission (“SEC”) charged two celebrities with unlawfully [...]
Apr
What is a general solicitation?
General Solicitation is the act of marketing a capital raise publicly. Rule 506(b) of Regulation [...]
What is an “exemption from registration?”
Regulation D’s Rule 504 and Rule 506 grant exemptions from registration if different requirements are [...]
Part 1: What is an Opportunity Zone Fund?
The 2017 Tax Cuts and Jobs Act established a section of the tax code that [...]
Opportunity Zone Funds
Part 1: What is an Opportunity Zone? The 2017 Tax Cuts and Jobs Act established [...]
Is posting a PPM online behind a password protected website count as a general solicitation? Twist: Does it matter if unaccredited investors can obtain a password and register for such a website?
Preparing a Private Placement Memorandum(PPM) that provides full and fair disclosure of the material aspects [...]
Primary and Secondary Markets
There are two different settings in which securities transactions occur. The first, the seller of [...]
What Happens if I Receive an SEC Subpoena?
What to do When You Are Flagged by the SEC and Receive an SEC Subpoena [...]