Tag Archives: NASAA

Reg. A+ Fight Between The States And The SEC Rages On, But What Is The End Game?

Posted on October 20, 2015 by

As many of you know, since the release of the final Title IV (i.e. “Regulation A+”) rules earlier this year, Massachusetts and Montana have been have been vehemently contesting the provisions allowing for pre-emption of State regulation with respect to … Continue reading →

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Regulation A+ Still A Go As The SEC Denies Montana’s Request to Stay

Posted on June 18, 2015 by

As you may know, Montana has filed a “Petition For Review” to challenge the final rules adopted by the SEC under Title IV of the JOBS Act (commonly referred to as Regulation A+). In connection with its suit, Monica J. … Continue reading →

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NASAA Brings Rule 506 Notice Filings Into The 20th Century With Launch Of Electronic Filing Depository (EFD) - But Is It Enough?

Posted on January 17, 2015 by

In late December of last year, the North American Securities Administrators Association (NASAA) launched, what it refers to, as its Electronic Filing Depository (EFD) system. The EFD system is designed to allow users to submit certain required “blue sky” notice … Continue reading →

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