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
Rule 504 of Regulation D provides an exemption from the registration requirements of the federal securities laws for some companies when they offer and sell up to $1,000,000 of their […]
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 […]
Anti-Touting Violations by Internet Promoter
Internet Promoters Enjoined by SEC The SEC announced on August 25, 2000, another case involving the online touting of securities, and the entry of a permanent injunction against a promoter […]
Public Offering and Private Placement Information Center
When the Securities and Exchange Commission enacted a new procedure for financing by small corporations, known as the Small Corporate Offering Registration (SCOR), it was designed to help small corporations […]
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 […]
