by Jason M. Gordon | Feb 23, 2025 | Business Transactions, Antitrust, & Securities Law
[cite] Back To: BUSINESS TRANSACTIONS, ANTITRUST, & SECURITIES LAW Deficiency Letter Definition The Securities and Exchange Commission (SEC) of the United States issues deficiency letters to the registrants of intended public stock offerings when there is some...
by Jason M. Gordon | Feb 23, 2025 | Business Transactions, Antitrust, & Securities Law
[cite] Back to: LAW, RISK, and TRANSACTIONS Venture Capital Exemption from Investment Advisor’s Act Venture capital firms are generally exempt from the onerous registration requirements of the Investment Advisers Act of 1940 (the Advisers Act). Specifically,...
by Jason M. Gordon | Feb 23, 2025 | Business Transactions, Antitrust, & Securities Law
[cite] Next Article: Securities Issuances Regulated by State Law Back to: SECURITIES LAW BLUE-SKY LAWS Blue-sky laws are state laws regulating the sale of securities within that state. These laws are so named from early laws passed in Kansas and in the Midwest to...
by Jason M. Gordon | Feb 23, 2025 | Business Transactions, Antitrust, & Securities Law
[cite] Next Article: FTC – Enforce Antitrust Law Back to: ANTITRUST LAW What are the major antitrust laws in the United States? Since the inception of antitrust law, the Federal Government has passed three sweeping antitrust laws: The Sherman Act of 1890, The...
by Jason M. Gordon | Feb 23, 2025 | Business Transactions, Antitrust, & Securities Law
What is the Best-Price Rule (Rule 14D-10)?The Best-price rule (Rule 14D-10) is a regulation that stipulates that an entity giving certain considerations to some stockholders in a tender offer must make the same offer to all stockholders. This rule is simply called the...
by Jason M. Gordon | Feb 23, 2025 | Business Transactions, Antitrust, & Securities Law
What is a Pump-and-Dump? Pump and dump refer to a type of securities fraud or scheme that tries to inflate prices of stock through misleading, false, or greatly exaggerated statements. Those involved in this scheme do this so that they can be able to sell their cheap...
