Category Archives: Securities
What Are Digital Securities?
The average person tends to think of securities as highly complex financial instruments. However, several different day-to-day items have the potential to be classified as securities, including stamps, vouchers, and tokens, whether tangible or digital. Distinguishing which digital assets may qualify as securities is a crucial part of doing business in the online marketplace…. Read More »
Defining Securities For Beginners
For a person who is building their dream business, the financial aspects often come second to the more outgoing work like building a client list. It can be a shock to find oneself in the position of planning the financial future of your company as well as its day-to-day operations, but it is just… Read More »
Securities Updates and the Coronavirus Pandemic
As the coronavirus spreads and the pandemic widens in Florida and across the U.S., the U.S. Securities and Exchange Commission (SEC) is taking steps to serve investors and funds. Since the global pandemic is an ever-evolving situation, it is difficult to say with certainty how long some of the SEC’s relief measures will remain… Read More »
What is Regulation Crowdfunding?
If you are thinking about starting a small business in Florida or have a startup, you should know about Regulation Crowdfunding. In short, Regulation Crowdfunding may allow your business to raise money without having to register with the U.S. Securities and Exchange Commission (SEC). However, there are very specific rules to Regulation Crowdfunding that… Read More »
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 with the U.S. Securities and Exchange Commission (SEC). A variety of companies may be eligible for an exemption, and thus may be able… Read More »
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 »
