Category Archives: SEC
SEC Proposes to Expand the Definition of an Accredited Investor
How is the definition of an accredited investor being expanded? The proposed rule will amend [...]
Jan
The Removal of Restrictive Legends from Stock Certificates: How to Comply with Rule 144 as a Non-affiliate
How to Comply with Rule 144 as a Non-Affiliate What is Rule 144? Rule 144 [...]
Jan
SEC Charges Repeat Securities Law Violator
August 13, 2019 The Securities and Exchange Commission (“SEC”) charged Antonio Bravata, a repeat securities [...]
Aug
SEC Charges Two Advisory Firms with Mutual Fund Share Class Disclosure Violations
SOn December 21, 2018, the Securities and Exchange Commission (“SEC”)announced settled charges against New York-based [...]
May
SEC Charges Two Celebrities with Unlawfully Touting Initial Coin Offerings
On November 29, 2018, the Securities and Exchange Commission (“SEC”) charged two celebrities with unlawfully [...]
Apr
What Happens if I Receive an SEC Subpoena?
What to do When You Are Flagged by the SEC and Receive an SEC Subpoena [...]
SEC Charges Promoter with Penny Stock Market Manipulation Scheme
The Securities and Exchange Commission (“SEC”) charged a public company promoter and his company with [...]
SEC Charges Two Robo-Advisers with False Disclosure
On December 21, the SEC instituted its first enforcement actions against robo-advisers when they issued [...]
What is the Securities Act of 1933?
Drafted by Commissioner Huston Thompson of the Federal Trade Commission (FTC), this was the first [...]