Category: Regulations

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about what it means to be an “accredited investor.”  What does it mean to be an accredited investor? Under the federal securities laws, only persons who are accredited investors may participate in certain securities offerings.  One reason these […]

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about Regulation A.  Regulation A is an exemption from registration under the Securities Act that allows companies to raise money from the public in securities offerings of up to $75 million. What is Regulation A? Regulation A allows companies […]

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about securities-based crowdfunding. Crowdfunding generally refers to a financing method in which money is raised through soliciting relatively small individual investments or contributions from a large number of people.  Companies can use Regulation Crowdfunding to offer and sell securities […]

The SEC’s Office of Investor Education and Advocacy (OIEA) cautions investors not to make investment decisions related to SPACs based solely on celebrity involvement.  Celebrities, from movie stars to professional athletes, can be found on TV, radio, and social media endorsing a wide variety of products and services.  Sometimes they are even involved in investment opportunities […]

Jan. 26, 2021 The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about SEC Forms 3, 4, and 5. The federal securities laws require certain individuals (such as officers, directors, and those that hold more than 10% of any class of a company’s securities, together we’ll call, […]

Jan. 26, 2021 A company has just released its quarterly earnings. Another company has auditor news that could raise a red flag, and a third company is filing for bankruptcy. Where can you find more facts? Information about these events and many more are found in a document called a current report on Form 8-K.  […]

ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Xior, ISIN BE0974288202, on Euronext Brussels is suspended from 28/03/2018 at 08:35 CET until the publication of a press release with the results of a placement of shares […]

The European Securities and Markets Authority (ESMA) has decided to ban the offering of binary options and to introduce restrictions on the sale of CFDs (contracts for difference). ESMA is taking these measures in order to protect retail investors. More information on the measures introduced by ESMA. The FSMA issued a Regulation in 2016 establishing […]

ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Tinc, ISIN BE0974282148, on Euronext Brussels will re-open on 26/03/2018 at 13:30 CET. Source: FSMA

ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Tinc, ISIN BE0974282148, on Euronext Brussels is suspended from 26/03/2018 at 09:00 CET until the publication of a press release. Source: FSMA