Latest Blog Posts By Category

Corporate Law
- SEC Changes Private Placement Rules
  The SEC has adopted amendments to Rule 506 under the Securities Act of 1933 that permit general solicitation and general advertising in securities ...
Financial Services Law
- Best Efforts Contingency Offerings
  Best Efforts Contingency Offerings In February 2016 the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 16-08 reminding ...
Securities Arbitration
- Notice to Clients: Defense of Promissory Note Cases
  When moving to a new firm, many brokers receive "upfront money" in the form of a promissory note from their employing firm. Most times these funds are ...

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