Tag: Securities Law


SEC Proposes Electronic Filing Requirement for Most Paper Filings

The SEC has proposed amendments aimed at modernizing its information collection and analysis methods. The proposal requires a significant number of filings to be submitted to the Commission electronically using structured data where appropriate. The proposed amendments would require the electronic filing, submission, or posting of certain forms, filings, and […]

Securities and Exchange Commission

SEC Charges Crypto Entrepreneur Justin Sun, his Companies and Celebrities for Fraud and Other Securities Law Violations

The SEC has charged Justin Sun, a prominent crypto asset entrepreneur, and his wholly-owned companies, Tron Foundation Limited, BitTorrent Foundation Ltd., and Rainberry Inc. (formerly BitTorrent), for the unregistered offer and sale of crypto asset securities Tronix (TRX) and BitTorrent (BTT). In addition, Sun and his companies have been charged […]


SEC Proposes to Expand and Update Regulation SCI

The Securities and Exchange Commission today proposed amendments to expand and update Regulation Systems Compliance and Integrity (SCI), the set of rules adopted in 2014 to help address technological vulnerabilities in the U.S. securities markets and improve Commission oversight of the core technology of key U.S. securities markets entities (SCI […]

Securities and Exchange Commission
Enforcement Private Placements

SEC Charges Silver Edge Financial LLC and Equity Acquisition Company Ltd. with Unregistered Broker-Dealer Activity

On March 3, 2023, the Securities and Exchange Commission (SEC) charged Silver Edge Financial LLC, Equity Acquisition Company Ltd. (EAC), their owners, and sales staff with unregistered broker-dealer activity related to their sales of interests in shares of various pre-IPO companies. In this article, we will discuss the details of […]

Corp Finance Public Offerings

Tips for Going Public

Going public is an exciting milestone for any company. It is a crucial step that brings with it a lot of advantages and opportunities, such as access to new capital, increased visibility, and enhanced credibility. However, the process of going public can be quite complex and challenging. In this article, […]