New FINRA Rule 5123 Takes Effect Requiring Notice of Private Placements by Member Firms
The Financial Industry Regulatory Authority has adopted new Rule 5123 requiring members to file notice of their participation in pri...
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Securities Attorneys
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Mary Schapiro to Be Replaced By Elisse Walter as Head of SEC
President Obama has chosen Elise Walter to temporarily head the Securities and Exchange Commission (SEC) when Mary Schapiro steps do...
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Proposed Rules Eliminating the Prohibition Against General Solicitation and Advertising in Rules 506 and 144A Offerings – Part II
As required by Title II of the JOBS Act, the SEC has published proposed rules eliminating the prohibition against general solicitati...
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Proposed Rules Eliminating the Prohibition Against General Solicitation and Advertising in Rules 506 and 144A Offerings – Part I
As required by Title II of the JOBS Act, the SEC has published proposed rules eliminating the prohibition against general solicitati...
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House Subcommittee Demands Explanation of SEC’s Delayed JOBS Act Rulemaking
Title II of the JOBS Act provides that, within 90 days of the passage of the JOBS Act (i.e. July 5, 2012), the SEC will amend Sectio...
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Crowdfunding Direct Public Offerings
As a reminder, on April 5, 2012 President Obama signed the JOBS Act into law. Part of the JOBS Act is the Crowdfunding Act, the full...
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Regulation A+; A Brief History
Title IV of the JOBS Act – Small Capital Formation – is quickly being called the new Regulation A+. Title IV of the JOBS Act techni...
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Q2 By The Numbers – An Analysis of Market
First, I’d like to give credit to The DealFlow Report which was my initial source for the numerical factual information in this blog...
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What is an Accredited Investor or a Qualified Institutional Investor Anyway?
Title II of the JOBS Act provides that the SEC will amend Section 4(2) of the Securities Act of 1933 and Regulation D promulgated th...
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FINRA Seeks Public Comment in Advance of Crowdfunding Rulemaking
The Financial Industry Regulatory Authority (FINRA) has requested public comment and input in advance of preparing and publishing pr...
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