Regulation S-K Item 102 – Securities Law Blog

Going Public Lawyer Securiities Law Blog Item 102 Description of Property State briefly the location and general character of the principal plants, mines and other materially important physical properties of the registrant and its subsidiaries. In addition, identify the industry segment(s), as reported in the financial statements, that use the properties described. If any such property is not held in fee or... Read More Going Public Lawyer
http://www.securitieslawyer101.com/regulation-s-k-item-102/

FINRA Brings Transparency to Rule 144A Corporate Debt Transactions

On June 30, 2014, the Financial Industry Regulatory Authority ("FINRA") began publicly disseminating Rule 144A transaction data in corporate debt securities, bringing transparency to a market.     144A transactions—resales of restricted corporate...
http://www.securitieslawyer101.com/rule-144a/

FINRA Brings Transparency to Rule 144A Corporate Debt Transactions

On June 30, 2014, the Financial Industry Regulatory Authority ("FINRA") began publicly disseminating Rule 144A transaction data in corporate debt securities, bringing transparency to a market.     144A transactions—resales of restricted corporate...
http://www.securitieslawyer101.com/rule-144a/

FINRA Brings Transparency to Rule 144A Corporate Debt Transactions

On June 30, 2014, the Financial Industry Regulatory Authority ("FINRA") began publicly disseminating Rule 144A transaction data in corporate debt securities, bringing transparency to a market.     144A transactions—resales of restricted corporate...
http://www.securitieslawyer101.com/rule-144a/

FINRA Fines Goldman Sachs Execution & Clearing $800,000

Securities Lawyer 101 Blog On July 1, 2014, the Financial Industry Regulatory Authority ("FINRA") announced that it had fined Goldman Sachs Execution & Clearing, L.P. $800,000 for failing to have reasonably designed written policies and procedur...
http://www.securitieslawyer101.com/goldman-sachs/

SEC Seeks to Reduce Gobbly Gook Disclosures By: Securities Lawyers 101

Going Public Lawyer Securities Lawyer 101 Blog This month, the Securities and Exchange Commission (the “SEC”) provided guidance related to the enhanced mutual fund disclosure amendments it adopted in 2009. The SEC’s guidance is based on comments the staff of the Division of Investment Management provided to a number of funds and their securities lawyers.  The SEC guidance is intended to focus funds on certain form... Read More Going Public Lawyer
http://www.securitieslawyer101.com/securities-lawyers-disclosure/

Using Preferred Stock in the EB-5 Program

Securities Lawyers 101 Blog Posted by Todd Feinstein, Esquire The purpose of the EB-5 Program is to promote the immigration of people who can help create jobs for United States workers through their investment of capital into the United States ec...
http://www.securitieslawyer101.com/eb-5-lawyer/