Whether you are a business raising capital or an investor buying securities, understanding the definition of a security is important… Every offer and sale of a security is required to be registered with the Securities and Exchange Commission (SEC), unless subject to an exemption from registration under the Securities Act of 1933. So, whether you […]
In the past year, we discussed a number of ways that startups and other small businesses can raise the capital needed to help them grow while maintaining compliance with federal securities regulations… In 2021, we discussed a number of ways that startups and other small businesses can raise the capital needed to help them grow while maintaining […]
The SEC recently published its much-anticipated report on the January 2021 GameStop (GameStop or GME) stock trading frenzy and the larger meme-stock phenomenon… The Securities and Exchange Commission (SEC) recently published its much-anticipated report on the January 2021 GameStop (GameStop or GME) stock trading frenzy and the larger meme-stock phenomenon. The report, entitled Staff Report […]
Crowdfunding can be an effective way to raise funds for your business… Crowdfunding can be an effective way to raise funds for your business. However, as highlighted in a recent enforcement action brought by the Securities and Exchange Commission (SEC), you have to play by the rules. According to the SEC, its enforcement action against […]
