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SEC focus on unregistered broker-dealers implications for regulated entities

Baker Donelson Bearman Caldwell & Berkowitz PC
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USA
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May 13 2013

In March, the Securities and Exchange Commission (SEC) announced administrative sanctions against Ranieri Partners LLC, which controls two private

Securities law for startups

Baker Donelson Bearman Caldwell & Berkowitz PC
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USA
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April 19 2013

Chris Sloan, shareholder at Baker Donelson, gives a brief introduction to securities laws

SEC approves social media announcements if investors are alerted

Baker Donelson Bearman Caldwell & Berkowitz PC
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USA
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April 4 2013

On April 2, 2013, the Securities & Exchange Commission (SEC) announced that companies may use Facebook, Twitter and other social media sites to

SEC Office of Compliance Inspections and Examinations issues 2013 exam priorities

Baker Donelson Bearman Caldwell & Berkowitz PC
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USA
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March 11 2013

On February 23, 2013, through the National Exam Program (NEP), the staff of the Office of Compliance Inspections and Examinations (OCIE) of the

Supreme Court decision impacts securities class action lawsuits

Baker Donelson Bearman Caldwell & Berkowitz PC
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USA
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March 8 2013

On February 27, 2013, the U.S. Supreme Court issued an opinion, Amgen Inc. v. Connecticut Retirement Plans and Trust Funds, that may make it easier

10Qs and 10Ks now required to include transactions subject to economic sanctions

Baker Donelson Bearman Caldwell & Berkowitz PC
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USA
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February 26 2013

Effective February 6, 2013, companies required to file quarterly and annual reports (10Qs and 10Ks) with the Securities and Exchange Commission (SEC

Unregistered broker-dealers and the myth of the finder's exemption

Baker Donelson Bearman Caldwell & Berkowitz PC
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USA
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February 14 2013

Chris Sloan, attorney at Baker Donelson, explains how unregistered broker-dealers can lead to problems for emerging companies. Click here to watch

FINRA issues 2013 Regulatory and Examination Priorities Letter

Baker Donelson Bearman Caldwell & Berkowitz PC
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USA
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February 1 2013

On January 11, 2013, the Financial Industry Regulated Authority (FINRA) issued its 2013 Annual Regulatory and Examination Priorities Letter

Congress extends exclusion for investors in qualified small businesses

Baker Donelson Bearman Caldwell & Berkowitz PC
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USA
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January 14 2013

Among the taxpayer-favorable aspects of the American Taxpayer Relief Act of 2012 (Act), the 100 percent exclusion from gross income of gain on the

SEC proposes rules to permit advertising in Rule 506 offerings and Rule 144A resale transactions

Baker Donelson Bearman Caldwell & Berkowitz PC
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USA
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September 10 2012

On August 29, 2012, the Securities and Exchange Commission (SEC) proposed rules to permit advertising in Rule 506 offerings and Rule 144A resale transactions

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