Under the federal securities laws, while a company may not offer or sell securities without registration with the SEC, there are a number of registration exemptions. Many exemptions require that […]
Corp Finance
Congress Still Trading On Non-Public Information?
Even a looming scandal wouldn’t deter some of Congress’ most eager stock traders.” This article from Politico details the outrageous trading patterns of some members of Congress, who despite the […]
SEC’s Fast Answers – Rule 504
From the SEC’s Fast Answers Page: Rule 504 of Regulation D Rule 504 of Regulation D provides an exemption from the registration requirements of the federal securities laws for some […]
SEC Fast Answers – Rule 506
From the SEC’s “Fast Answers” Page: Rule 506 of Regulation D Rule 506 of Regulation D is considered a “safe harbor” for the private offering exemption ofSection 4(a)(2) of the […]
Corporate Law and Finance Center
SEC Law.com IPO Information Center Introductory Materials: Introduction to Federal Securities Laws Introduction to Blue Sky Laws (State Securities Laws) Introduction to Securities Arbitration Initial Public Offering Process Introduction […]
Lease/Back, Buy/Back Agreements
Lease/Back and Buy/Back Agreements Constitute Securities By Mark J. Astarita, Esq. The Securities and Exchange Commission (“Commission”) announced that on August 2, 2000, it filed a civil lawsuit […]
Anti-Touting Violations by Internet Promoter
Internet Promoters Enjoined by SEC By Mark J. Astarita, Esq. The SEC announced on August 25, 2000, another case involving the online touting of securities, and the entry of a […]
Finders, Registration and Exemptions
Finding Finders When do they have to register. Or do they have to at all? By Mark J. Astarita, Esq. A question I am often asked is what is […]
Guide to State Securities Administrators
Maintained by Mark J. Astarita, Esq. Last Updated September 16, 2014 BLUE SKY ATTORNEYS – The state securities laws are a tangle of rules and regulations that differ from state […]
Introduction to Private Placements – A Securities Lawyer Guide
Introduction By Mark Astarita, a New York Securities Lawyer This document is not legal advice, and is intended solely for information and educational purposes. If you are contemplating a private […]
