The Law of the Financial Markets
Wednesday, September 23, 2020
The Securities and Exchange Commission today announced that it has obtained an asset freeze and other emergency relief to halt an ongoing securities fraud perpetrated by a former state senator and two others who bilked investors in and outside the U.S. The SEC’s complaint alleges that Florida residents Robert Dunlap […]
Investors who lost money in UBS’ Yield Enhancement Strategy (YES) may be able to recover their losses
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 the offering be made only to persons who are accredited investors. Unlike offerings registered with the SEC in which certain […]
The SEC has voted to propose rule amendments to improve the information that investors receive regarding the acquisition and disposition of businesses. The proposed amendments are also intended to facilitate more timely access to capital and to reduce complexity and compliance costs of these financial disclosures. “The proposed rules are, […]
Proponents of the varied cryptocurrencies believe that buying these “coins” will make them millionaires. For some, it is hard to argue, given the spectacular gains in the currency over the past year. However, those of us who have been involved in the securities markets for more than a few years, […]
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 STOCK Act, continue to trade in the securities of companies who are the influenced by their investigations and legislation. The […]
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 securities in any 12-month period. A company can use this exemption so long as it is not a blank check […]
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 Securities Act. Companies relying on the Rule 506 exemption can raise an unlimited amount of money. There are actually two […]
Corporate Finance, the raising of capital, is a significant part of the United States Securities Laws. 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 to Private Placements Introduction to […]
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 who failed to follow the anti-touting rules under the Securities Act of 1933. According to the SEC Release, the defendants, […]
