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General Solicitation And General Advertising - June 21, 2021 - Corporate/Commercial Law

General Solicitation And General Advertising - June 21, 2021 - Corporate/Commercial Law
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bitcoin: SEC says group illegally raised $2 billion in crypto offering

SEC alleges that an outfit called BitConnect used a network of promoters to sell the securities without registering the offering with the SEC, or registering themselves, as brokers as required by law. ....

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Iowa Proposes State-Specific Best Interest Rules for Insurance and Securities Businesses (Updated) | Kilpatrick Townsend & Stockton LLP

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UPDATE: As of December 30, 2020, Arizona, Arkansas, Michigan, and Rhode Island have joined Iowa in adopting the NAIC model rule for best interest standard in annuity sales. Alabama, Delaware, Kentucky, Maine, Nevada and Ohio were also considering legislation or regulations that would implement the model rule. New York has its own rule (that is different than the model rule).
UPDATE: May 11, 2020, Iowa adopted its proposed regulation requiring annuity agents to act in the best interest of consumers, but delayed adoption (or revision, withdrawal) of the companion securities rules. The Commissioner said that he expects to return to the securities proposals later this summer. ....

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Proposed Amendments to Rule 144 | Mayer Brown Free Writings + Perspectives

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In its 2019 Concept Release on Harmonization of Securities Offerings,1 the US Securities and Exchange Commission (SEC) included a section requesting comment regarding resale exemptions, including Rule 144. While the SEC addressed a number of the key issues relating to the exempt offering framework that were first identified in the Concept Release in a rulemaking earlier this year,2 the SEC had not until recently addressed any of the resale exemptions. On December 22, 2020, the SEC proposed amendments to Rule 144 and Form 144 (the Proposing Release).3 In the Proposing Release, the SEC is proposing to amend Rule 144, Form 144, Form 4, Form 5 and Rule 101 of Regulation S-T. We summarize below the principal aspects of the proposed amendments. ....

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