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Recent SEC Actions Against Investor Exploitation

One result of Quantitative Easing has been search for better investment returns. Rediscovery of inflation by Federal Open Market Committee of Federal Reserve Board of Governors has resulted in increases in federal fund rate, but investors have been bold in placing bets. ....

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SEC Modernizing Investment Adviser Advertising

SEC Modernizing Investment Adviser Advertising
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Proposed Amendments to SEC Rule 144

Thursday, January 7, 2021
Rule 144 was originally adopted by the U. S. Securities and Exchange Commission (“SEC”) in 1972 to improve liquidity for investors in privately-placed securities. Under Section 5 of the Securities Act of 1933, as amended (the “33 Act”), it is unlawful to sell any security unless it is registered with the SEC or exempt from that registration requirement. One available exemption under Section 4(2) of the 33 Act is for offerings “not involving a public offering,” an exemption frequently relied upon to raise capital for start-ups and for local businesses. See my September 15, 2020, blog post, “‘Accredited Investor’: Regulatory Design, the Revised Definition, and the Unfinished Result,” for a history of the development of the so-called “private offering” exemption. ....

Eladl Roisman , Jay Clayton , Exchange Commission , York Stock Exchange , Securities Exchange , New York Stock Exchange , Securities Act , Accredited Investors , Regulatory Design , Revised Definition , Unfinished Result , Securities Exchange Act , Proposed Amendments , Commissioner Elad , Acting Chair , ஜெய் களிமண் , பரிமாற்றம் தரகு , யார்க் ஸ்டாக் பரிமாற்றம் , பத்திரங்கள் பரிமாற்றம் , புதியது யார்க் ஸ்டாக் பரிமாற்றம் , பத்திரங்கள் நாடகம் , முறைப்படிஒப்புக்கொள்ளப்பட்ட முதலீட்டாளர்கள் , ஒழுங்குமுறை வடிவமைப்பு , முடிக்கப்படாதது விளைவாக , பத்திரங்கள் பரிமாற்றம் நாடகம் , ப்ரபோஸ்ட் திருத்தங்கள் ,