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Category: Regulation ATS

Regulation ATS: Regulation ATS requires, among others, registration as a broker-dealer. The OTC Markets is an ATS, as is to Technologies…

Regulation A For Publicly Reporting Companies, Economic Growth and Regulatory Relief

Regulation A will soon be available for publicly reporting companies. On May 24, 2018, President Trump signed the Economic Growth, Regulatory Relief and Consumer Protection Act (the “Act”) into law. Although the Act largely focuses on the banking industry and is being called the Dodd-Frank Rollback Act by many, it also contained much-needed provisions amending Regulation A+ and Rule… Continue reading “Regulation A For Publicly Reporting Companies, Economic Growth and Regulatory Relief”

The 2017 SEC Government-Business Forum On Small Business Capital Formation Final Report

The SEC has published the final report and recommendations of the 2017 annual Government-Business Forum on Small Business Capital Formation (the “Forum”). As required by the Small Business Investment Incentive Act of 1980, each year the SEC holds a forum focused on small business capital formation.  The goal of the forum is to develop recommendations for government and private… Continue reading “The 2017 SEC Government-Business Forum On Small Business Capital Formation Final Report”

SEC Issues Report on Initial Coin Offerings (ICO’s)

On July 25, 2017, the SEC issued a report on an investigation related to an initial coin offering (ICO) by the DAO and statements by the Divisions of Corporation Finance and Enforcement related to the investigative report (the “Report”). On the same day, the SEC issued an Investor Bulletin related to ICO’s. Offers and sales of digital… Continue reading “SEC Issues Report on Initial Coin Offerings (ICO’s)”