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OTC MARKETS DESLISTING DEADLINES COMING SOON FOR NON-CURRENT COMPANIES
Exchange Act Rule 15c2-11 governs when broker-dealers may publish electronic quotes in securities that are not traded on an exchange. On...
Brian Higley, Esq.
Jun 22, 20212 min read
LONG OVERDUE: SEC AMENDS “ACCREDITED INVESTOR” DEFINITION
During my almost ten years of securities practice, I have always had an issue with the people and entities that are allowed to take part...
Brian Higley, Esq.
Aug 26, 20202 min read
IS LESS DISCLOSURE REALLY A GOOD IDEA? ARE THERE SIGNS THE SEC AGREES WITH PRESIDENT TRUMP?
During Donald Trump’s controversial term as President of the United States, he has never shied away from using social media (Twitter) to...
Brian Higley, Esq.
Dec 18, 20182 min read
HOW TO CHOOSE THE RIGHT EQUITY CROWDFUNDING PLATFORM
Traditionally, raising capital as a startup or a small company has been very difficult. Going public can be time-consuming and expensive....
Brian Higley, Esq.
Dec 11, 20183 min read
REGULATION A: A MINI-IPO
The most common exemptions from registration include: Section 4(a)(2); Rule 504 under Regulation D; Rule 506(b) under Regulation D; Rule...
Brian Higley, Esq.
Dec 4, 20183 min read
PRIVATE OFFERING EXEMPTIONS FROM REGISTRATION: RULE 701
Exemptions from registration used in private offerings that are commonly used include: Section 4(a)(2); Rule 504 under Regulation D; Rule...
Brian Higley, Esq.
Nov 27, 20183 min read
SECRETS TO A SUCCESSFUL CROWDFUNDING: AN ATTORNEY'S TAKE
What is equity crowdfunding? On May 16, 2016, Title III of the Jumpstart Our Business Startups (“JOBS”) Act of 2012 (Regulation CF)...
Brian Higley, Esq.
Nov 20, 20183 min read
CROWDFUNDING: A MODERN EXEMPTION FROM REGISTRATION
The most common exemptions from registration are the following: Section 4(a)(2); Rule 504 under Regulation D; Rule 506(b) under...
Brian Higley, Esq.
Nov 13, 20183 min read
REGULATION S FOR PRIVATE OFFERING EXEMPTIONS FROM REGISTRATION
The most common exemptions from registration used in private offerings are the following: Section 4(a)(2) Rule 504 under Regulation D;...
Brian Higley, Esq.
Nov 6, 20186 min read
PRIVATE OFFERING EXEMPTIONS FROM REGISTRATION: RULES 506(c) AND 504
As previously mentioned, the most common exemptions from registration used in private offerings are the following: Section 4(a)(2); Rule...
Brian Higley, Esq.
Oct 29, 20183 min read
PRIVATE OFFERING EXEMPTIONS FROM REGISTRATION: RULE 506(b)
As was discussed in a previous blog post, the most common exemptions from registration used in private offerings are the following: ·...
Brian Higley, Esq.
Oct 22, 20183 min read
JUDGE APPROVES SEC SETTLEMENT WITH ELON MUSK
On September 29, 2018, the SEC announced that Elon Musk and Tesla, Inc. had each agreed to settle the securities fraud charge brought by...
Brian Higley, Esq.
Oct 16, 20182 min read
PRIVATE OFFERING EXEMPTIONS FROM REGISTRATION: SECTION 4(a)(2)
Companies looking to raise funds through the issuance of equity securities can either seek capital in the public or private markets and,...
Brian Higley, Esq.
Oct 15, 20183 min read
PRIVATE PLACEMENT: AN ALTERNATIVE TO PUBLIC OFFERINGS
One of the largest hurdles which often prevents startups and small companies from achieving success, both in the short term and the long...
Brian Higley, Esq.
Oct 8, 20183 min read
Why did Elon Musk Settle with the SEC so Quickly?: A Reminder of the Heavy Hammer the SEC Holds
Last week we posted a blog covering the breaking news that the SEC was suing Elon Musk for making false and/or misleading statements in...
Brian Higley, Esq.
Oct 3, 20183 min read
SEC SUES ELON MUSK: A LESSON FOR CEOs OF SEC REPORTING COMPANIES
On August 7, 2018, the usually cluttered Twitterverse was interrupted with the following tweet from Elon Musk: Posting tweets containing...
Brian Higley, Esq.
Sep 28, 20182 min read
Timely Filing SEC Reports
Once a company becomes subject to the requirements of the Securities and Exchange Act of 1934, as amended (the “Exchange Act”), it has an...
Brian Higley, Esq.
Sep 27, 20183 min read
Common SEC Reports
Now that the public company is subject to the requirements of the Securities and Exchange Act of 1934, as amended (the “Exchange Act”)...
Brian Higley, Esq.
Sep 24, 20183 min read
SEC REPORTING REQUIREMENTS
Does becoming a public company and taking advantage of public markets sound desirable to you? Before your company takes the step of...
Brian Higley, Esq.
Sep 20, 20183 min read
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