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Changes to AML Rules For Investment Advisors
Be Prepared for Changes to the Anti-Money Laundering (AML) Rules for Investment Advisers in 2016
Read MoreThe Defense Trade Secrets Act
What is the Defense Trade Secrets Act (DTSA)? What do employers need to do to take advantage of this new federal statute?
Read MoreRegulation A+ and Blue Sky Laws: Restrictions on Secondary Trading
Jay Kaplowitz, Cass Sanford, Tessa Patti not assigned cass sanford
Read MoreNow That You’re Public
SEC Adopts Interim Final Rules to Implement FAST Act
By Avital Perlman On January 13, 2016 the SEC approved interim final rules implementing two provisions of the Fixing America’s Surface Transportation (FAST) Act, adopted by Congress in December, that revise financial reporting forms for emerging growth companies* and smaller reporting companies.** not assigned Avital Even-Shoshan | FAST Act | SEC law | srff
Read MoreFAST Act Includes Changes to Securities Laws
By Avital Perlman President Obama signed the Fixing America’s Surface Transportation Act, or FAST Act, into law on December 4, 2015. The FAST Act, which is aimed at improving the country’s surface transportation infrastructure, also contains several sections that amend securities laws to ease regulatory burdens for smaller companies. Improving Access to Capital for Emerging Growth…
Read MoreGregory Sichenzia Teaches Lawline Video Course for “Investing in Publicly Trading Companies in the Legal Cannabis Industry”
December 9, 2015 – Sichenzia Ross Friedman Ference founding partner Gregory Sichenzia appears on Lawline,
Read MoreCrowdfunding Under Title III: Building an SEC-Compliant Funding Portal
November 30, 2015 Regulation Crowdfunding Crowdfunding continues to garner more and more attention as the SEC pushes forward implementing the 2012 JOBS Act. not assigned cass sanford
Read MoreUtilizing a “Shelf” Registration Statement for a Follow-On Public Offering
Under the Securities Act of 1933, as amended (the “Securities Act”), any public securities
offering must be registered with the Securities and Exchange Commission (the “SEC”). In a
follow-on public offering, a publicly reporting company offers securities to the public in an
offering registered with the SEC subsequent to the completion of the issuer’s initial public
offering.
Rule 506(b): Developing Substantive Relationships in the Age of the Internet
On August 6th, 2015, the SEC responded to letter a from Citizen VC, Inc.
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