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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
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