SEC Enforcement Actions and Regulatory Evolution 2019–2025
A Comprehensive Review of Trends, Cases, and Compliance Takeaways Prepared by Hamilton & Associates Law Group, P.A. — Securities Lawyer 101. This…
Read More
SEC Amends Accredited Investor Definition – Rule 506 Offerings
Rule 506 Offerings are the most common of the Regulation D exemptions from registration under the Securities Act of 1933, as amended…
Read More
Regulation CF Crowdfunding and SEC Reporting After the Offering
After an issuer completes a Regulation CF crowdfunding offering, it must comply with certain ongoing reporting obligations. Unlike public company SEC reporting…
Read More
Section 4(a)(7) Resale Exemption – FAST ACT
Section 4(a)(7) provides an exemption for private resales from the SEC’s (“SEC”) registration statement requirements if certain conditions are met. One of…
Read More
What Is a Seed Stockholder? Going Public Lawyers
One requirement of a going public transaction is that the issuer obtain sufficient stockholders to establish a trading market. These initial investors…
Read More
What is Accredited Investor Verification? Going Public Lawyers
Rule 506(c) verification of accredited investor status is only required where the issuer engages in general solicitation and/or advertising. The SEC provided…
Read More
Investor Relations and Rule 506 (c) Offerings
Rule 506(c) of Regulation D. Rule 506(c) removes the 80-year prohibition against the general solicitation and advertising of private placements.
Read More
Will Going Public Help Me Raise Capital? Going Public Attorneys
Going public is frequently used as a stepping stone by companies seeking to raise capital.
Read More
When Private Placements Go Public – Rule 506-c Attorneys
Rule 506 of Regulation D of the Securities Act of 1933 provides a private placement exemption from federal securities registration which is increasingly…
Read More
Accredited Investor Status Under Rule 506(c) l Securities Lawyer 101
Rule 506(c) is the most commonly used exemption of the Regulation D of the Securities Act. Rule 506(c) allows the issuer to…
Read More
What is an Exempt Direct Public Offering? Rule 506(c) Offering Attorneys
An exempt Direct Public Offering can involve a private placement under Rules 506(c) or 504 of Regulation D. The most commonly used…
Read More
SEC Form D Requirements, Regulation D, Notice of Sales
To file a Form D, the Company must obtain Edgar filer codes. Edgar filer codes are obtained by filing a Form ID…
Read More
What is an Accredited Investor? Securities Lawyer 101
Dodd-Frank amended the definition of an “accredited” investor to exclude the value of an investor’s primary residence when determining whether the net…
Read More