Law Blog Tag: Section 15(b)
Exemption to Broker-Dealer Registration Requirements for Officers, Directors and Key Employees
May 20, 2014 in Broker Dealer Registration Requirements, Broker-Dealer, Rule 506, Section 3(a)(39), Section 3(a)(9), Uncategorized
SEC Guidance on Rules Disqualifying Bad Actors from Participating in Rule 506 Offerings
December 17, 2013 in Bad Actor Rules, Bad Actors, Dodd-Frank Act, Rule 506, SEC Guidance, Securities Attorneys, Uncategorized
Will FINRA Rule Changes Related to Private Placement Further Deter Broker Dealers From Placing the Securities of Small Businesses?
September 03, 2013 in Broker Dealer Registration Requirements, Broker-Dealer, Dodd-Frank Act, FINRA, JOBS ACT, JOBS ACT and Crowdfunding, Regulation D, Rule 144A, Rule 506, SEC Guidance, Securities Attorneys