Here's the recent articles submitted by brenda hamilton
Articles By brenda hamilton
The Sec Blacklists Bad Actors Ln Rule 506 Offerings
By: brenda hamilton
On July 10, 2013, the SEC approved a rule banning the use of the Rule 506 exemption from securities registration if the issuer and bad actors had a disqualifying event.(read
entire article)
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Category : Business
When The Sec Investigates
By: brenda hamilton
No company wants to become the target of a Securities and Exchange Commission (“SEC”) investigation, and no investor welcomes an inquiry into a stock he holds.(read
entire article)
View : 234 Times
Category : Business
A New Crowdfunding Watchdog In Massachusetts
By: brenda hamilton
Consumer watchdogs and the Securities and Exchange Commission (“SEC”) as well are aware that certain provisions of the new Rule 506 created in connection with the JOBS Act could encourage fraud if not effectively policed, resulting in significant losses for non-accredited investors who choose to participate in 506 offerings.(read
entire article)
View : 537 Times
Category : Business
Finra Red Flags
By: brenda hamilton
The Financial Industry Regulatory Authority (“FINRA”) recently identified certain red flags in connection with a disciplinary action against Gar Wood Securities LLC.(read
entire article)
View : 295 Times
Category : Business
Pacific Clean Water Technologies Hires Hamilton And Associates Law Group
By: brenda hamilton
PCWT hires Hamilton and Associates Law Group for forensic trading analysis.(read
entire article)
View : 336 Times
Category : Business
Stock Scalping
By: brenda hamilton
Stock scalping refers to the illegal and deceptive practice of recommending that others purchase a security while secretly selling the same security.(read
entire article)
View : 329 Times
Category : Business
Rule 506 Not For Bad Actors Anymore
By: brenda hamilton
On July 10, 2013, the Securities and Exchange Commission (the “SEC” or “Commission”) adopted amendments to rules promulgated under Regulation D of the Securities Act of 1933, as amended (the “Securities Act”) to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).(read
entire article)
View : 274 Times
Category : Business
Seed Shareholders In Going Public Transactions
By: brenda hamilton
The going public process involves a number of steps that vary depending on the characteristics of the private company wishing to go public, and whether it will become an SEC reporting issuer.(read
entire article)
View : 334 Times
Category : Business
Rule 504 Question And Answer
By: brenda hamilton
Q. What Is Rule 504 of Regulation D?
A. Rule 504 of Regulation D is a transactional exemption from the registration requirements of the Securities Act of 1933, as amended (the “1933 Act”) for certain companies when they offer and sell securities.(read
entire article)
View : 327 Times
Category : Business
Pink Sheet Bootcamp
By: brenda hamilton
A private company seeking to go public can obtain a stock ticker or trading symbol assignment from FINRA if it meets certain requirements.(read
entire article)
View : 321 Times
Category : Business
