Kurtin PLLC | USA | 28 Apr 2022
This is the Appendix 1 Securities Act Exemption Chart from our "Raising Capital through Private Placements: Deal Points" advisory, April 2022 in…
Kurtin PLLC | USA | 28 Apr 2022
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…
Kramer Levin Naftalis & Frankel LLP | USA | 11 Apr 2022
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…
Bryan Cave Leighton Paisner LLP | USA | 24 Feb 2022
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…
SEC Actions | USA | 10 Nov 2021
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…
Bryan Cave Leighton Paisner LLP | USA | 20 Oct 2021
A major U.S. cryptocurrency exchange recently disclosed its receipt of a Wells Notice from the SEC, which threatened charges for violating Section 5…
SEC Actions | USA | 5 Oct 2021
Earlier this month the Commission approved two new complex financial products. Despite the approval, the new products sparked comments from Chair…
McGuireWoods LLP | USA | 1 Oct 2021
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…
SEC Actions | USA | 30 Sep 2021
Maker-taker fees and payment for order flow are much discussed topics. SEC Chair Gensler, had repeatedly talked about payment for order flow, for…
Kramer Levin Naftalis & Frankel LLP | USA | 28 Sep 2021
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…