Market Transparency

Explore in-depth articles and video interviews focused on the legal implications of market transparency, a crucial element in antitrust law and consumer protection. Visitors will gain insights into how transparency affects competition and regulatory compliance, featuring expert opinions from seasoned attorneys. Understand the role of disclosure laws and how they impact business practices within the United States legal framework.

Strategic Meeting on Bad-Boy Provision in Securities Law

How to Comply With Bad-Boy Provision Requirements

Banking/Finance/Securities, Business/Corporate, Corporate Law, Other Legal Issues, Regulatory Compliance, Securities Law /

To comply with the Bad-Boy Provision under Rule 506 of Regulation D, issuers must verify that no “covered person” has a disqualifying event within the prior 5 years (issuer events) or 10 years (other covered persons). Compliance typically requires written questionnaires, background/regulatory checks, and documented disclosures or waivers where applicable. This article explains who is […]

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Professional Insights on Securities: Understanding Backing Away

Backing Away from Securities: A Comprehensive Guide

Banking/Finance/Securities, Investment Strategies, Securities Law /

Backing away from securities is when a market maker or dealer refuses to complete a previously agreed trade on the agreed terms. This can violate FINRA/SEC duties, trigger disputes, and expose firms to sanctions or civil liability depending on facts and documentation. This guide explains how backing away works, key rules, and practical options for

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