Business Law Blog

Creating New OTC Listings Through Spin Off Transactions

The Commission has long held that a dividend of securities generally does not constitute a “sale” within the meaning of Section 2(a)(3) of the Securities Act because such dividend does …Read more [+]

CONSUMER ALERT: Attorney Adam Tracy Investigates Online Payment Provider Payza.com

(PRLEAP.COM) CHICAGO, IL – November 30, 2015 – Consumer rights attorney Adam Tracy and the law firm of the Securities Compliance Group announced today that it would be aggreissvely pursuing …Read more [+]

Cobbler Nevada Lawsuit Defense

Attorney Adam S. Tracy represents individuals and businesses who have been sued by Cobbler Nevada, LLC.In June, 2015, hundreds of lawsuits were filed by a newly formed company, Cobbler Nevada, …Read more [+]

Officer & Director Disclosure On Sec Forms 3 & 4

A common question we receive is when are Securities and Exchange Commission Forms 3, 4 and 5 required to be filed? While the answer is relatively straightforward, the legal authority …Read more [+]

A Free Startup’s Guide to SEC Form D

Securities and Exchange Commision Form D is a required fling by an issuer of securities in a private placement under Regulation D. A Form D must be field electronically with …Read more [+]

An Overview of Pension Plan Withdrawal Liability

Pension plan withdrawal liability is an exit fee which requires a employer to pay a portion of its pension plan’s future benefits, which have not yet been funded through previous …Read more [+]

CFTC Defines Bitcoin & Cryptocurrency As Commodities

In an administrative enforcement action brought this past September against the bitcoin exchange Coinflip and its owner, the US Commodity Futures Trading Commission (CFTC) for the first time ruled that …Read more [+]

Fifth Amendment Right Against Self Incrimination In Civil Securities and Commodities Enforcement Cases

The Fifth Amendment to the Consitution provides, in relevant part, that the “… accused shall not be compelled to give evidence against himself.” The protection of the Fifth Amendment applies not …Read more [+]

Securities & Exchange Commission Form 10-12g: SEC Form 10 Its Applicability and Uses

A Form 10-12G Registration Statement (more commonly known as a “Form 10”) is a registration statement used to register a class of securities pursuant to Section 12(g) of the Securities …Read more [+]

Responding to Criminal Investigation Inquiries

A big tongue and cheek, but Chelsea manager Jose Mourinho provides a phenomenal blueprint for responding to direct questioning by criminal authorities following his team’s loss to Liverpool in the …Read more [+]