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FAQs on the SEC’s New Approach to the “Intrastate” Offering Exemption

USA - November 28 2016 On October 26, 2016, the SEC adopted final rules regarding “intrastate” offerings. The SEC “modernized” Rule 147 under the Securities Act of...

James S. Rollins, Daniel B. Nunn, Jr., Kiran Lingam, Douglas Spear, Neil E. Grayson, John M. Jennings, Charles D. Vaughn, J. Brennan Ryan, Jonathan H. Talcott, Jeffrey A. Allred, Janis F. Kerns.

Corporate executives beware: DOJ announces new yates corporate cooperation policy that seeks to hold corporate employees liable for corporate misdeeds

USA - November 16 2015 Emphasis on Individual Accountability: During the past few years there has been increasing scrutiny and criticism of government regulators for...

James S. Rollins, Sol Wisenberg, Michael Ruggio, Cory E. Manning, Juliane Balliro.

SEC announces broker dealer, investment adviser and transfer agent Examination Priorities for 2015

USA - January 22 2015 What can registrants expect from the SEC in 2015? Among other areas, expect scrutiny of retail sales practices and fees, and use by the SEC staff of...

James S. Rollins, Janis F. Kerns.

SEC proposes new crowdfunding rules

USA - October 28 2013 The Securities and Exchange Commission voted unanimously to issue proposed crowdfunding rules under the JOBS Act at an open meeting held on October...

Neil E. Grayson, John M. Jennings, Charles D. Vaughn, Michael F. Johnson, Janis F. Kerns.

Nelson Mullins’ initial observations on the proposed crowdfunding rules

USA - October 25 2013 The SEC voted unanimously to issue proposed crowdfunding rules under the JOBS Act at an open meeting held on October 23, 2013. The proposed rules...

Neil E. Grayson, John M. Jennings, Charles D. Vaughn, Michael F. Johnson, Janis F. Kerns.