Bach to Business

Our award-winning blog draws from Elizabeth Whitman’s background in and passion for music to illustrate creative solutions for complex legal challenges in business and real estate investing.

Posts tagged securities law

How Investment Promoters Can Avoid Violating Securities Law

Securities promoters most provide complete disclosure of the amount and conditions relating to compensation paid for the endorsement, whether cash, crypto, equity, products, or anything else of value.

Securities LawElizabeth WhitmanApril 7, 2025securities fraud, promotor, securities law, transaction-based compensation

SEC Changes Disclosure Requirements for Rule 506(b) Offerings

The SEC has reduced disclosure requirements for Rule 506(b) offerings sold to non-accredited investors so they match those in Regulation A.

Securities LawElizabeth WhitmanNovember 12, 2020securities law, Rule 506, Rule 506(b), Regulation A, regulation d, accredited investor, non-accredited investors

SEC Adds Knowledgeable Issuer Employees to List of Accredited Investors in Private Placements

Starting in December individuals may be accredited based upon their credentials, and issuer employees may be accredited based upon their "knowledge." However, there is no bright-line test to determine which employees are sufficiently knowledgeable to be accredited investors.

Real Estate Investments, Securities LawElizabeth WhitmanOctober 18, 2020securities regulation, securities law, accredited investor, reg d, regulation d, private placement, knowledgeable employee, tom hess, rhapsody of fire