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Securities Sales and Private Placements

Any time a company or venture seeks investments or to borrow money from any source other than a bank or other institutional lender, there is very likely an offer of sale of a security. Every offer or sale of a security must be registered under Federal and applicable state securities laws unless a specific exemption from registration is identified, documented and perfected. Every sale of a security must comply with the disclosure requirements of the Federal and applicable state securities laws, whether it is registered or exempt from registration. It is virtually impossible to comply with the exemption and disclosure requirements of state and federal securities law without guidance from an experienced professional.

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From Our Blog

Sixth Circuit: Lawyers Performing Ordinary Legal Work are not Statutory Sellers under Kentucky Statute


posted by James Dunlap at 02:59 PM

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Joshua Constantin and Brian Solomon


posted by James Dunlap at 06:12 PM

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Regenesis Centers, Inc., Regenex, Inc., A.J. Ross Logistics, Inc., Southern Gourmet Products, Inc., Status Game Corp., and Suncast Network, Inc.


posted by James Dunlap at 02:11 AM

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