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Kurtin PLLC | USA | 28 Apr 2022

Raising Capital through Private Placements Exemption Chart (April 2022 Update)

This is the Appendix 1 Securities Act Exemption Chart from our "Raising Capital through Private Placements: Deal Points" advisory, April 2022 in…
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Kurtin PLLC | USA | 28 Apr 2022

Raising Capital through Private Placements: Deal Points (April 2022 Update)

Any attempt to raise capital by the offer and sale of securities in the U.S. market must be made with a publicly filed registration statement…
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Kramer Levin Naftalis & Frankel LLP | USA | 11 Apr 2022

SEC Proposes New Rules for SPAC IPOs and SPAC Business Combinations

On March 30, 2022, the Securities and Exchange Commission (SEC) published a proposal for new rules and amendments under the Securities Act of 1933 and…
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Bryan Cave Leighton Paisner LLP | USA | 24 Feb 2022

Marketing Non-US Private Funds to US Investors

The U.S. Securities Act of 1933 (the “Securities Act”) requires every offer and sale of securities made using U.S. means of interstate commerce to be…
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SEC Actions | USA | 10 Nov 2021

Two Penny Stock Schemes

One current area of focus for Commission enforcement is penny stocks. There is nothing new about this focus. From the earliest days of the Division…
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Bryan Cave Leighton Paisner LLP | USA | 20 Oct 2021

Crypto yield products in the crosshairs

A major U.S. cryptocurrency exchange recently disclosed its receipt of a Wells Notice from the SEC, which threatened charges for violating Section 5…
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SEC Actions | USA | 5 Oct 2021

Complex Products: Are They Investments?

Earlier this month the Commission approved two new complex financial products. Despite the approval, the new products sparked comments from Chair…
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McGuireWoods LLP | USA | 1 Oct 2021

New Complaint - SEC v. Bullard, et al.

SEC v. Bullard, et al. Is a new complaint filed by the SEC in the District of Minnesota on August 27, 2021. The complaint alleges Jason Dodd Bullard…
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SEC Actions | USA | 30 Sep 2021

Wash Sales and Maker-Taker Fees

Maker-taker fees and payment for order flow are much discussed topics. SEC Chair Gensler, had repeatedly talked about payment for order flow, for…
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Kramer Levin Naftalis & Frankel LLP | USA | 28 Sep 2021

New York Court Joins Other State Courts in Dismissing Securities Act Claims in Favor of Federal Forum Provision

As we have discussed in prior client alerts (see here and here), in the wake of the Delaware Supreme Court’s decision in Salzberg v. Sciabacucci…
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