Posts Tagged ‘broker dealer compliance’

Issuer Compliance Alert

  • September 9th, 2014
  • Russell Weigel
  • Comments Off on Issuer Compliance Alert

by Securities Attorney: Russell C. Weigel, III Issuers contemplating a capital raise using the new exemptions from registration made available in the JOBS Act must be aware that with freedom comes responsibility. From a compliance perspective, of the various changes…