Major Overhaul to Reg. D on the Way?
February 15, 2023

All good things must come to an end. Or, perhaps it is better to frame the issue as the law must change with the times to reflect realities in the market and better serve the investing public. Whatever your view of the benefits and burdens of…

SEC Announces Multi-Million Dollar Award for Whistleblower
December 02, 2022

No one proactively seeks to be a whistleblower when they show up to work in the morning.  While people of high integrity and ethics will focus on doing the right thing when faced with an ethical dilemma, they do so at great risk.  The life…

SEC Proposes New Changes to Accredited Investor Definition
January 06, 2020

The U.S. Securities and Exchange Commission (SEC) recently proposed new rules to expand and clarify the definition of "accredited investor" under the U.S. Securities Act of 1933. Among other things, the rules would open private capital markets…