Wall Street’s Favorite Four-Letter Word
Wall Street has a new obsession: special purpose acquisition companies (SPACs).
SPACs are an alternative to the traditional way businesses raise money known as initial public...
Synchronoss Technologies and senior employees charged with accounting-related misconduct
SEC Charges New Jersey Software Company and Senior Employees with Accounting-Related Misconduct
Synchronoss Technologies to Pay $12.5 Million to Settle Charges, Former CEO to Reimburse...
California Cannabis Powerhouse, Harborside, is Another Public Launch on the Horizon
California Cannabis Powerhouse, Harborside, is Another Public Launch on the Horizon
Last month, I mentioned the Pax Labs IPO as probably the biggest moment for...
SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Unit
Washington D.C., May 3, 2022 — The Securities and Exchange Commission today announced the allocation of 20 additional positions to the unit responsible for...
SEC Charges Firm and Five Brokers with Violations of Reg BI
Brokerage firm sold $13.3 million worth of high-risk bonds to retirees and other retail investors
Washington D.C. — The Securities and Exchange Commission has charged...
10 Reasons why STO (Security Token Offering) Will Become Huge Investment vehicle
10 Reasons why STO (Security Token Offering) Will Become Huge Investment vehicle
In 2017 the world learned about initial coin offerings (ICO) as the start-ups...
SEC Proposes Rules for the Registration and Regulation of Security-Based Swap Execution Facilities
The Securities and Exchange Commission proposed this week new Regulation SE under the Securities Exchange Act of 1934 (the Exchange Act) to create a...
SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violations
Washington D.C. — The Securities and Exchange Commission has charged Haverford, PA-based Egan-Jones Ratings Company, a nationally recognized statistical rating organization (NRSRO) registered with...
Reg A+ will gain momentum in 2020
Reg A+ Investing will become big in 2020 and beyond for public and private companies
Before 2015, a business looking to raise money had very...
Check out SEC’s updated list of firms using inaccurate information to solicit investors
Washington D.C. — The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit...