Category: Securities Law

Regulation D 506 Offering Requirements
  • Admin
  • Mar 15, 2023
If you want to raise money for your business, there are several options available through a private offering. One example is SEC Regulation D Rule 506C. This rule was enacted in 2012, and it provides ....
What Is SEC Regulation D 506C, and What Are the Requirements?
  • Admin
  • Mar 11, 2023
If you want to raise money for your business, there are several options available through a private offering. One example is SEC Regulation D Rule 506C. This rule was enacted in 2012, and it provides ....
SEC Adopts Amendments To Rule 10b5-1 Insider Trading Plans
  • Admin
  • Feb 15, 2023
Insider trading has been one of the major focuses of the Securities and Exchange Commission (SEC) for a long time, and the SEC recently announced that it has adopted amendments to Rule 10b5-1. This ru....
The SEC Announces Proposals To Reduce Settlement Risk to T+1
  • Admin
  • Mar 26, 2022
Traders face a variety of risks related to clearance and settlement. Now, the SEC might be making changes that can reduce the risks during this process. In February, the SEC announced that it is propo....
The SEC Proposes Changes To Increase Transparency Regarding Cybersecurity Practices
  • Admin
  • Mar 26, 2022
Cyber security is one of the biggest issues in the financial world, and the SEC is announcing potential rule changes that are designed to increase the transparency of disclosures related to cyber secu....
The SEC Is Considering Extending the Interactive Data Rule and Wants Public Comments
  • Admin
  • Mar 26, 2022
The SEC has proposed a variety of changes to the interactive data rule, and they are seeking feedback from people on how the change might impact their day-to-day operations. In early March, the SEC....
SEC Issues New Proposal to Increase Private Fund Investor Protection
  • Admin
  • Feb 19, 2022
Private fund investor protection has been a significant topic of discussion in the financial community during the past few years. Now, it appears that the Securities and Exchange Commission (SEC) has ....
Regulators Amend Volcker Rule for Investments in Hedge Funds
  • Admin
  • Jul 24, 2020
On June 25, 2020, five agencies, including the OCC, Board, FDIC, SEC, and CFTC, adopted amendments to Section 13 of the BHC Act, also known as the Volcker Rule. OCC here refers to Department of T....
SEC and Justice Dept Antitrust Division Sign Historic Agreement
  • Admin
  • Jul 01, 2020
On June 22, 2020, the Securities and Exchange Commission and the Antitrust Division of the Department of Justice signed an inter-agency MOU for enhancing competition in the securities industry. Assist....
What are State Blue Sky Laws?
  • Admin
  • May 26, 2020
In addition to Federal securities laws, states have their own securities regulations designed to protect investors which are referred to as Blue Sky Laws. Just like the SEC, states require securities ....
SEC Analysis Matrix Regarding Digital Assets
  • Shelby Wayment
  • May 13, 2019
The SEC published a Framework for Investment Contract Analysis of Digital Assets on April 3, 2019. The analysis provides guidance for applying the Howey test to digital assets to determine if they ar....
Regulation A+ Improvement Act of 2017 (H.R. 4263)
  • Shelby Wayment
  • Apr 24, 2018
The House of Representatives recently passed H.R. 4263 on March 15, 2018, titled the Regulation A+ Improvement Act. Regulation A+ is comprised of two separate tiers regarding offerings, titled Tier 1 ....
Amendments to Investment Advisers Act
  • Shelby Wayment
  • Nov 26, 2017
In August of 2016, the SEC adopted the proposed amendments to the Investment Advisers Act, in addition to the investment adviser registration and reporting form, commonly known as Form ADV. These chan....
US Department of the Treasury Report on Capital Markets
  • Dan Carter
  • Mar 09, 2017
President Trump issued executive order 13,772 on February 3, 2017, which aimed to regulate the U.S. financial system with a set of core principles. In response, the U.S. Department of the Treasury pre....
Understanding Blue Sky Securities Laws
  • Eric Mellmer
  • Feb 01, 2017
Raising money from investors for your business involves understanding complex securities rules and regulations and federal and state filing requirements for proper compliance. Whether you own a small ....
What is DTC Eligibility?
  • Admin
  • Dec 14, 2016
DTC, or Depository Trust Company, founded in 1973, is the largest depository globally with over thirty-five trillion dollars worth of securities on deposit. It operates a securities settlement system ....
H.R. 2187 – Fair Investment Opportunities for Professional Experts Act
  • Shelby Wayment
  • Apr 27, 2016
This act, if approved by the senate and the President, will direct the SEC to revise its previous regulations regarding the qualifications of natural persons as accredited investors. This act amends S....
Transferring Ownership of Stock within an S Corporation
  • Admin
  • Mar 04, 2014
There is a saying that it is better to give than to receive, and that is certainly the case when it comes to transferring ownership of stock to someone else. Unfortunately, rules and regulations have ....
Corporate Action Changes: FINRA Rule 6490
  • Admin
  • Sep 27, 2010
The Financial Industry Regulatory Authority, or FINRA, made key changes in the way corporate actions are handled this past year, including eliminating time-consuming paperwork and adding issuer fees f....