by Debra Guzov | Finance and Securities
“Seal of the United States Court of Appeals for the Second Circuit” by U.S. Government with modifications made by Offnopt. In May, the Second Circuit Court of Appeals reconsidered United States v. Martoma, No. 14-3599 (2d Cir. Aug. 23, 2017) in regards to...
by Debra Guzov | Finance and Securities
The Securities and Exchange Commission (SEC) has passed its first major policy, under the new chairman Jay Clayton, to extend the Jumpstart Our Business Startups (JOBS) Act and improve capital formation. This development will create greater use of the JOBS Act,...
by Debra Guzov | Finance and Securities
On Wednesday, June 21, 2017, the U.S. Court of Appeals for the Second Circuit set a new standard in Stadnick v. Vivint Solar, Inc., et al., No. 16-65 when determining whether to disclose interim financial information to investors in the prospectus. The Second Circuit...
by Debra Guzov | Finance and Securities
“DSC_4880 – Securities and Exchange Commission” by Scott S. licensed under CC Attribution 2.0 Generic. Modified by Guzov, LLC. Early in May 2017, Jay Clayton was sworn into office as the 32nd Chairman of the Securities and Exchange Commission. New...
by Debra Guzov | Finance and Securities
Today’s economy is seeing a drop in trading manipulation due to new initiatives set in place by FINRA. FINRA, or, the Financial Industry Regulatory Authority, is a “not-for-profit organization authorized by Congress to protect America’s investors by making sure the...
