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Traders Magazine By Lou Pastina, Global Markets Advisory Group Gary Gensler, the newly minted Chair of the Securities and Exchange Commission, testified recently that he will seek a deep dive into the market structure of the United States Equity Markets.  My question is, does anyone really care anymore? It was early in the new millennium that the Commission – fresh from Nasdaq scandals and the introduction of competition with new alternative trading systems – enacted Regulation NMS. Buy side traders were tired of being traded ahead of and Sell side desks were tired of paying huge comm...

A new reality streaming television series called Unicorn Hunters debuts tonight in which startups will pitch to a panel that includes Apple co-founder Steve Wozniak, and the panelists after some grilling of the entrepreneurs will make decisions on whether or not to invest, similar to Shark Tank.  But unlike the couch potato viewers of Shark Tank, viewers of Unicorn Hunters will also be given the opportunity to invest in the presenting companies, which raises some pretty interesting securities law issues. The securities offered on Unicorn Hunters will not be registered with the Securit...

To embed, copy and paste the code into your website or blog: The amount of capital that companies can raise in a Regulation A (also known as a “Reg A+”) offering increased to $75 million annually, effective as of March 15, 2021. With the new offering limit, Tier 2 Reg A+ offerings, often called mini-IPOs, can boost an issuer’s capital and simultaneously raise market awareness of its brand and products. By increasing the offering limit, issuers may better absorb fixed offering costs, as they would represent a smaller percentage of the total capital raised. The new limit also incentivizes...