Category Archives: Securities
What Are Exempt Offerings?
If you are starting a business in Florida, or if you have a company and want to offer and sell securities, you may be wondering if you will need to register the securities with the U.S. Securities and Exchange Commission (“SEC”). There are several transaction exemptions available to companies that may allow the offer… Read More »
Proposed SEC Updates to Definition of “Accredited Investor”
Who qualifies as an accredited investor for purposes of participating in private capital markets? According to a recent press release from the U.S. Securities and Exchange Commission (SEC), the SEC has proposed amendments to its current definition of an accredited investor. As you may know, the definition of an accredited investor is “one of… Read More »
What are Blue Sky Laws and How Do They Affect My Florida Securities Offerings?
The term “blue sky laws” are state regulations that were created to help protect investors against possible securities fraud. Any type of securities being sold or offered within a state must register or they have to qualify for an exemption. The laws can differ widely based on what state you are in. Most blue… Read More »
SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities
Washington D.C., Oct. 17, 2019 — The Securities and Exchange Commission today issued a statement that invites exchanges and other market participants to submit innovative proposals designed to improve the secondary market structure for exchange listed equity securities that trade in lower volumes, commonly referred to as “thinly traded securities.” Low trading volumes may drive… Read More »
How a Florida Securities Compliance Lawyer Can Help Your Business
Does your business offer securities, or are you planning to offer them? Securities offerings are highly regulated at both the federal and the state level by the Securities and Exchange Commission (SEC) and Florida securities administrators. Your offerings are required to comply with both federal and state registration laws as well as anti-fraud laws…. Read More »
SEC Releases an Updated List of Firms Who Use Inaccurate Information in Order to Solicit Investors
The Securities and Exchange Commission recently issued a press release that it has updated the list of unregistered securities entities that may be engaging in the practice of using misleading information in order to go after investors. Their primary focus is unsuspecting international investors. This latest update added 11 soliciting entities, nine bogus regulators,… Read More »
Senior Safe Act Helps Reduce Suspected Senior Financial Exploitation
Financial fraud against senior citizens is an unfortunate reality that surrounds us. Older persons are considered easier targets and are left vulnerable to unscrupulous and opportunistic thieves in search of their next score. In order to try and thwart some of the risk, the Senior Safe Act was passed in May 2018. It does… Read More »
Questions Investors Should be Asking Before Investing in a Startup
Taking a risk on investing in a startup can pay off with significant returns, but every venture has its risks. With startups, there is no guarantee the business will take off, and, if it fails, investors could wind up with nothing. If you’re looking for investors for your new startup, it’s important that you… Read More »
What is the SEC’s FAST Act Modernization and Simplification of Regulation S-K?
The Securities and Exchange Commission voted in March to adopt several amendments in Regulation S-K that are designed to both modernize and simplify the disclosure requirements for investment companies, public companies, and investment advisers. The object is to make it easier for them to access and analyze material information while doing away with unnecessary… Read More »
The Risks of Trading Based on the Use of Social Sentiment Investing Tools
In a recent Investor Alert, the U.S. Securities and Exchange Commission’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) warn investors against the potential risks of using social media as the basis for trading and the perils of social sentiment investment tools. What are Social Sentiment Investing Tools? Social… Read More »