Author Archives: Securities_Legal_Admin
SEC Charges Promoter with Penny Stock Market Manipulation Scheme
The Securities and Exchange Commission (“SEC”) charged a public company promoter and his company with [...]
Repurchase Offers Summary
Alexis King On February 14, 1975, Commissioner of Corporations of the State of California, Willie [...]
Rescission Offers
Alexis King A rescission offer takes place when an issuer offers to repurchase an investor’s [...]
Stock as Security
Under the securities definition stock is included as a security “unless the context otherwise requires” [...]
SEC Charges Two Robo-Advisers with False Disclosure
On December 21, the SEC instituted its first enforcement actions against robo-advisers when they issued [...]
OPPORTUNITY FUNDS: A HUGE BENEFIT TO ALL AMERICANS
OPPORTUNITY FUNDS: A HUGE BENEFIT TO ALL AMERICANS There is an estimated $6.1 trillion of [...]
What is the Securities Act of 1933?
Drafted by Commissioner Huston Thompson of the Federal Trade Commission (FTC), this was the first [...]
Public Companies on OTC Markets can now Report with Regulation A+ Disclosure Regime
Regulation A+ Offers Reporting Companies an Attractive Way to Raise Capital By Christopher A. Wilson [...]
Entrepreneurs! How to Protect Your Intellectual Property:
If you are thinking of starting a business, you probably have some good ideas about [...]
Will Your Company’s Initial Public Offering be Successful?
Will Your Company’s Initial Public Offering be Successful? When the time comes to take your [...]