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Archived Aritcles about Business
The Sec Blacklists Bad Actors Ln Rule 506 Offerings By: Brenda Hamilton
On July 10, 2013, the SEC approved a rule banning the use of the Rule 506 exemption from securities registration if the issuer and bad actors had a disqualifying event.(read entire article)(posted on: 2014-01-05)
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When The Sec Investigates By: Brenda Hamilton
No company wants to become the target of a Securities and Exchange Commission (“SEC”) investigation, and no investor welcomes an inquiry into a stock he holds.(read entire article)(posted on: 2014-01-05)
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A New Crowdfunding Watchdog In Massachusetts By: Brenda Hamilton
Consumer watchdogs and the Securities and Exchange Commission (“SEC”) as well are aware that certain provisions of the new Rule 506 created in connection with the JOBS Act could encourage fraud if not effectively policed, resulting in significant losses for non-accredited investors who choose to participate in 506 offerings.(read entire article)(posted on: 2014-01-05)
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Finra Red Flags By: Brenda Hamilton
The Financial Industry Regulatory Authority (“FINRA”) recently identified certain red flags in connection with a disciplinary action against Gar Wood Securities LLC.(read entire article)(posted on: 2014-01-05)
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Pacific Clean Water Technologies Hires Hamilton And Associates Law Group By: Brenda Hamilton
PCWT hires Hamilton and Associates Law Group for forensic trading analysis.(read entire article)(posted on: 2014-01-05)
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Stock Scalping By: Brenda Hamilton
Stock scalping refers to the illegal and deceptive practice of recommending that others purchase a security while secretly selling the same security.(read entire article)(posted on: 2014-01-05)
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Rule 506 Not For Bad Actors Anymore By: Brenda Hamilton
On July 10, 2013, the Securities and Exchange Commission (the “SEC” or “Commission”) adopted amendments to rules promulgated under Regulation D of the Securities Act of 1933, as amended (the “Securities Act”) to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).(read entire article)(posted on: 2014-01-05)
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Seed Shareholders In Going Public Transactions By: Brenda Hamilton
The going public process involves a number of steps that vary depending on the characteristics of the private company wishing to go public, and whether it will become an SEC reporting issuer.(read entire article)(posted on: 2014-01-05)
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Rule 504 Question And Answer By: Brenda Hamilton
Q. What Is Rule 504 of Regulation D?
A. Rule 504 of Regulation D is a transactional exemption from the registration requirements of the Securities Act of 1933, as amended (the “1933 Act”) for certain companies when they offer and sell securities.(read entire article)(posted on: 2014-01-05)
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Pink Sheet Bootcamp By: Brenda Hamilton
A private company seeking to go public can obtain a stock ticker or trading symbol assignment from FINRA if it meets certain requirements.(read entire article)(posted on: 2014-01-05)
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