Category Archives: Securities
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 »
What are EDGAR Filings in Florida?
EDGAR is the Electronic Data Gathering, Analysis, and Retrieval system, which is an online program through the United States Securities Exchange Commission (SEC). EDGAR is used to perform automated tasks like collecting, validating, indexing, accepting, and forwarding of submissions from companies and other entities that are required to file forms with the SEC. The… Read More »
SEC Votes to Consider Expanding “Testing the Waters” Process for Potential Issuers
Recently, the Securities and Exchange Commission held a vote to determine whether or not to expand its current “test-the-water” rules that would allow prospective stock issuers more time to interact and engage with their potential investors. Under the original plan, only emerging growth companies, or EGCs, could enjoy this option, while companies that have… Read More »