Posts Tagged ‘issuers compliance’

2 Self-Protection Tips for Immigration Attorneys involved in EB-5 Visa Transactions

2 Self-Protection Tips for Immigration Attorneys involved in EB-5 Visa Transactions

  • March 26th, 2015
  • Russell Weigel
  • Comments Off on 2 Self-Protection Tips for Immigration Attorneys involved in EB-5 Visa Transactions

In EB-5 Visa Transactions, Immigration attorneys can reduce their exposure to SEC enforcement investigations adhering to the following tips:   1.      Don’t Be on Both Sides of EB-5 Visa Transactions. EVERY Regional Center EB-5 Investment Opportunity Is a Securities Transaction.  Whether or…

The Advent of Advertising and General Solicitation of Private Placements and the Disqualification of Certain Issuers

  • September 9th, 2014
  • Russell Weigel
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by Securities Lawyer: Russell C. Weigel, III September 23, 2013 is the day that securities issuers will be able to conduct general solicitation and advertising of private capital raises pursuant to new Regulation D Rule 506(c) (implementation of Title II…

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…