Author Archives: Securities_Legal_Admin
What is a General Solicitation?
General Solicitation General Solicitation is the act of marketing a capital raise publicly. Rule 506(b) [...]
Private Placement Memorandum for Friends and Family?
Do you need a private placement memorandum for a friends and family capital raise? At [...]
Suspended Trading in Securities of Nevada-Based American Retail Group, Inc.
The Securities and Exchange Commission suspended trading in the securities of Nevada-based American Retail Group, [...]
Advantages of Raising Capital with a PPM
Advantages of Raising Capital with a PPM There are three main reasons to provide potential [...]
What is an Exemption from Registration
What is an “exemption from registration?” Regulation D’s Rule 504 and Rule 506 grant exemptions [...]
Is the Securities and Exchange Commission Helping or Harming Cryptocurrency Entrepreneurs?
Is the Securities and Exchange Commission Helping or Harming Cryptocurrency Entrepreneurs? Hester M. Pierce. Commissioner [...]
SEC Charges Two Celebrities with Unlawfully Touting Initial Coin Offerings
SEC Charges Two Celebrities with Unlawfully Touting Initial Coin Offerings On November 29, 2018, the [...]
SEC Charges Promoter with Penny Stock Market Manipulation Scheme
SEC Charges Promoter with Penny Stock Market Manipulation Scheme The Securities and Exchange Commission (“SEC”) [...]
SEC Forces Initial Coin Offering Issuers to Register Tokens as Securities
SEC Forces Initial Coin Offering Issuers to Register Tokens as Securities The Securities and Exchange [...]
Spotify: The First Direct Public Offering to the NYSE
Spotify, the giant music streaming service from Sweden, began public trading its shares on the [...]