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FINRA Enforcement of Non-Members and Penny Stock Issuers www.securitieslawyer101.com/2018/finra-e... FINRA & Penny Stocks When the subject of penny stock enforcement actions arises, most people think first of the Securities and Exchange Commission&nb...more
Created By: Brenda Hamilton
Created: Jul 9, 2018
SEC ALJ Appointments Are Unconstitutional www.securitieslawyer101.com/2018/sec-alj... On June 21, 2018 The Supreme Court handed down a ruling in Lucia et al. v. Securities and Exchange Commission; the Commission lost, 7-2.  At issu...more
Created By: Brenda Hamilton
Created: Jul 9, 2018
Regulation A+ White Paper - 2018 Overview of the Regulation A+ Exemption On March 25, 2015, the Securities and Exchange Commission (the “SEC”) adopted final rules to implement Section 401 of the Jumpstart Our Business St...more
Created By: Brenda Hamilton
Created: Jul 7, 2018
Regulation A For Publicly Reporting Companies, Economic Growth and Regulatory Relief Regulation A+ will soon be available for publicly reporting companies. On May 24, 2018, President Trump signed the Economic Growth, Regulatory Relief and Consumer Protection Act (the “Act&r...more
Created: Jul 3, 2018
How Internet Technology Revolutionized Our Sports Watching Habits Cutting the cord on cable can seem like a heart wrenching choice when you are a die-hard sports fan. How will you get your latest game updates? Will you be stuck listening to talk radio for the rest o...more
Created By: Lena Burkut
Created: Jul 3, 2018
SEC Spring 2018 Regulatory Agenda On May 9, 2018, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Office of Information and Regulatory Affairs. According to the pr...more
Created: Jun 26, 2018
The SEC Has Provided Guidance On Ether and Bitcoin, Sort Of On June 14, 2018, William Hinman, the Director of the SEC Division of Corporation Finance, gave a speech at Yahoo Finance’s All Markets Summit in which he made two huge revelations for the crypt...more
Created: Jun 19, 2018
The 2017 SEC Government-Business Forum On Small Business Capital Formation Final Report The SEC has published the final report and recommendations of the 2017 annual Government-Business Forum on Small Business Capital Formation (the “Forum”). As required by the Small Business...more
Created: Jun 12, 2018
Online Platforms Trading Cryptocurrencies; Continued Uncertainty In Crypto Space I have been writing often about the cryptocurrency marketplace and the SEC and other regulators’ statements and concerns about compliance with the federal securities laws. On July 25, 2017, the ...more
Created: Jun 5, 2018
Multiple Classes of Stock and the Public Company In March 2017, Snap Inc. completed its IPO, selling only non-voting Class A common shares to the investing public and beginning an ongoing discussion of the viability and morality of multiple classes ...more
Created: Jun 5, 2018
15 Tips to Ensure the Safety and Security of Your Home When is the last time you thought about the safety and security of your home? How about thinking about it right now? Do you do the following? If not, start, today: Do you have propane tanks for a...more
Created By: Robert Siciliano
Created: May 23, 2018
SEC Continues to Review, And Delay, Crypto Funds On January 18, 2018, the SEC issued a letter to the Investment Company Institute and the Securities Industry and Financial Markets Association (SIFMA) explaining why the SEC could not approve a crypto...more
Created: May 22, 2018
Are Your Employees Putting Your Company at Risk? Here’s How to Find Out! Even if you have the best security on your computer network, you might have noticed that you still seem to get hacked…or worse. Ask Equifax. Why is this happening? It’s probably because a...more
Created By: Robert Siciliano
Created: May 18, 2018
OTC Markets Makes Several Regulatory Recommendations On March 8, 2018, Cromwell Coulson, CEO of OTC Markets Group, made a presentation to the SEC’s Investor Advisory Committee (“IAC”) as part of a panel on “Discussion of Regulato...more
Created: May 15, 2018
10 Internet Security Myths that Small Businesses Should Be Aware Of Most small businesses don’t put as much focus on internet security as they probably should. If you are a small business owner or manager, not focusing on internet security could put you in a bad...more
Created By: Robert Siciliano
Created: May 11, 2018
Creating a “Plan B” for Survival What do you do if you have a “Plan A” for survival, but you realize that it’s a bad plan. Do you have a “Plan B?” Forget about doing things like running to the grocery...more
Created By: Robert Siciliano
Created: May 9, 2018
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