Securities Law

Are ICO Tokens Securities? Federal Court Poised To Answer For First Time

A New York man charged by the U.S. government with securities fraud in connection with two Initial Coin Offerings...

A First Look at Equity Crowdfunding in the US: Q1 & Q2 2017

The 2012 Jumpstart Our Business Startups (JOBS) Act established provisions that allow early-stage businesses to offer and sell securities...

Oct 13 · 1 min read >

Rule 504 Of Reg D Could Become More Useful Following SEC Amendments

The Securities and Exchange Commission (SEC) recently adopted amendments to Rule 504 of Regulation D under the Securities Act...

Regulation A+ Post-Effective Filing Obligations

       Overview Upon qualification by the Securities and Exchange Commission (SEC) of a Tier 2 offering under Regulation A+,...

California Creates Finders Fee Exemption For Unregistered Persons

California has enacted a sweeping change to its securities laws, allowing for the payment of finder’s fees to unregistered...

Aug 17 · 2 min read >

Regulation A+, Helping Small Businesses Raise Capital

Small businesses and startups should take note of new registration exemptions that enable companies to offer and sell up...

Fixing America’s Surface Transportation Act – A New Exemption from SEC Registration

On December 4, 2015, President Obama signed into law the Fixing America’s Surface Transportation Act, or FAST Act. Though...

Jun 6 · 1 min read >