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Depositing Penny Stocks with Brokers Creates Obstacles; SEC Charges E*Trade...
Introduction On October 9, 2014, the Securities and Exchange Commission (“SEC”) filed an enforcement action against E*Trade Securities and E*Trade Capital Markets for selling billions of shares of...
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Understanding The NSMIA And Navigating State Blue Sky Laws- Part II
The National Markets Improvement Act of 1996 (NSMIA) Generally, an offering and/or sale of securities must be either registered or exempt from registration under both the federal Securities Act of 1933...
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The Section 4(a)(1) And 4(a)(1½) Exemption; Recommendations For An Amendment...
What are the Section 4(a)(1) and Section 4(a)(1½) exemptions, and how do they work? Section 4(a)(1) of the Securities Act of 1933 (“Securities Act”) provides an exemption for a transaction “by a person...
View ArticleSEC Proposes Amendments To Rule 144
I’ve been at this for a long time and although some things do not change, the securities industry has been a roller coaster of change from rule amendments to guidance, to interpretation, and nuances...
View ArticleDepositing Penny Stocks with Brokers Creates Obstacles; SEC Charges E*Trade...
ABA Journal’s 10th Annual Blawg 100 —————————————————————————————————— Introduction On October 9, 2014, the Securities and Exchange Commission (“SEC”) filed an enforcement action against E*Trade...
View ArticleUnderstanding The NSMIA And Navigating State Blue Sky Laws- Part II
The National Markets Improvement Act of 1996 (NSMIA) Generally, an offering and/or sale of securities must be either registered or exempt from registration under both the federal Securities Act of 1933...
View ArticleThe Section 4(a)(1) And 4(a)(1½) Exemption; Recommendations For An Amendment...
What are the Section 4(a)(1) and Section 4(a)(1½) exemptions, and how do they work? Section 4(a)(1) of the Securities Act of 1933 (“Securities Act”) provides an exemption for a transaction “by a person...
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