Law Blog Category: White Paper

Finders- The Facts Related To Broker-Dealer Registration Requirements

OTC Markets Quotation Levels, Listing Requirements, and Comprehensive Pubco Criteria

Section 16 Insider Reporting and Potential Liability for Short-Swing Trading Practices

DTC Has Published Proposed Rules Related To Chills and Locks

The DPO Process Including Form S-1 Registration Statement Requirements

DTC Unveils Procedures and Plans for a Rule Change that Applies to Issuers Affected By Chills and Locks


As the expected deadline for the SEC to publish rules and regulations enacting the Crowdfunding Act (Title III of the Jumpstart Our Business Startups Act (JOBS Act)) grows nearer, it is a good time for a complete overview of crowdfunding. New Sections 4(6) and 4A of the Securities Act of 1933 codify the crowdfunding exemption and its various requirements as to Issuers and intermediaries. The SEC is in the process of drafting the underlying rules and regulations which will implement these new statutory provisions.