Securities
Corporate Transparency Act and its Impact on Your Business

Corporate Transparency Act and its Impact on Your Business

On January 1, 2021, Congress passed the Corporate Transparency Act (the “CTA”), which requires all entities formed in or registered to do business in the United States to report beneficial ownership information to the Financial Crimes Enforcement Network (“FinCEN”), subject to some exceptions, by no later than January 1, 2022. Although the CTA...

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SEC Emphasizes Anti-Fraud Protections During COVID-19 Pandemic

By: Timothy J. Feldhausen On March 23, 2020, the co-directors of the Division of Enforcement of the U.S. Securities and Exchange Commission (SEC) issued a statement regarding market integrity during the COVID-19 pandemic[1].  Specifically, the statement serves to remind public companies of their obligations to maintain disclosure controls and...

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Modern Commercial Financing: Your Guide to Regulation A+

Attracting capital remains challenging for most investors due to regulatory burdens, higher capital costs, and the high risk, high return nature of venture capital. Often, capital projects won't get off the ground unless projected returns are above market rates. This "mini-IPO" or "on-ramp to IPO" allows investors to raise up to $50 million in a...

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Regulation A+: An Alternative to Private Placements and Initial Public Offerings

Regulation A+: An Alternative to Private Placements and Initial Public Offerings

By: Michael Van Someren Regulation A+ went into effect in 2015. Although Regulation A+ has been around for a couple of years, its use is just beginning to become more mainstream. Since Regulation A+ was promulgated, the SEC has qualified 81 Regulation A+ offerings seeking to raise approximately $1.5 billion. As developers and investors gain more...

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New Wisconsin Crowdfunding Law Designed to Help Businesses Raise Capital

New Wisconsin Crowdfunding Law Designed to Help Businesses Raise Capital

By Scott E. Fiducci To facilitate investment in Wisconsin businesses, on November 7, 2013 Governor Scott Walker signed the CASE (crowdfunding and securities exemptions) for Jobs Act (2013 Wisconsin Act 52) (the "Act") into law, creating a state securities law exemption enabling Wisconsin businesses to raise up to $2 Million via online...

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