Section 12(g)(1)(A) – How The SEC Is Putting Words In Congress’ Mouth
Section 501 of the Jumpstart Our Business Startups (JOBS) Act amended Section 12(g)(1) of the Securities Exchange Act of 1934 to increase the thresholds for mandatory registration of a class of equity...
View ArticleWhy State Registration Of Security-Based Swaps Is Non-Existent
The regulation of “swaps” lies at the intersection of the commodities and securities regulation. In the parlance of commodity regulation, a “swap” is a contract or transaction that provides for a...
View ArticleAre Limited Liability Companies “Persons”?
Limited liability companies did not exist when Congress enacted the Securities Act of 1933 and the Securities Exchange Act of 1934. Therefore, it should be no surprise that as originally enacted these...
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