by Staff of the Firm | Jan 3, 2017 | Business Management, Securities Laws, Uncategorized
Previously, we discussed the Securities and Exchange Commission’s (“SEC”) order against Morgan Stanley Smith Barney LLC (“Morgan Stanley”) in connection with the company’s failure to safeguard customer information (see the SEC order here). As we reported earlier,...
by Staff of the Firm | Nov 8, 2016 | JOBS Act, Private Placements, Raising Capital, Securities Laws, Uncategorized
In our previous blog post Raising Capital Through Exempt Offerings, we talked about some of the most commonly used exemptions for securities offerings. Of note, we mentioned that Rule 506 promulgated under Regulation D is the most widely used transactional exemption...
by Staff of the Firm | Nov 1, 2016 | Business Management, Securities Laws, Uncategorized
As many of you know, there have been a series of big data breaches recently—the BlueCross BlueShield data breach involving more than 1 million members’ subscriber information, the Anthem data breach that exposed more than 80 million patient and employee records, and...
by Staff of the Firm | Sep 13, 2016 | JOBS Act, Private Placements, Raising Capital, Securities Laws, Uncategorized
Startups and early-stage companies often ask us when they need securities law advice (other than when obviously dealing with securities). Our answer is: as soon as you start thinking about raising capital or bringing in investors. Here’s why. Under the federal...
by Staff of the Firm | Jul 12, 2016 | JOBS Act, Private Placements, Raising Capital, Securities Laws, Uncategorized
On June 23, 2016, Shawn McBride was featured in a Huffington Post article titled “What the New Equity Crowdfunding Rules Mean for Business Owners and Investors.” This article is based on the podcast interview with Deirdre Sanborn of The Ambition Project Show on the...
