Corp Finance

Corp Finance

NASAA Objects to Finder Change

From JD Supra’s post from the California Corporate and Securities Law Blog: The North American Securities Administrators Association issued a comment letter urging the Securities and Exchange Commission not to move forward on its proposal to issue a conditional order exempting finders from the requirement to register as brokers.  The SEC had proposed the order as […]

Cryptocurrency
Investors Private Placements

Digital Asset Scam Alert

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 […]

Private Placements Securities Law Dictionary

Accredited Investor Definition

Under the federal securities laws, a company may not offer or sell securities to investors without registration with the SEC</div><div class=glossaryItemBody>The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)</div>” href=”https://www.seclaw.com/glossary/sec/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>SEC. However, there are a number of registration exemptions which ultimately expand the universe of potential investors. Many exemptions require that the investment offering be made only to persons who are accredited […]

Cryptocurrency
Corp Finance Investors

Bitcoin Fraud On the Rise

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, […]