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What Are "Covered Securities" Today?

The SEC recently (Aug. 8, 2011) proposed (PDF) an amendment to Rule 146 under Section 18 of the Securities Act of 1933 to designate certain securities on BATS Exchange, Inc. as “covered securities” for...

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Recent Shareholder-Oppression Decision Raises Uncertainty

A recent Texas Court of Appeals decision in Ritchie v. Rupe, 339 S.W.3d 275 (Tex.Civ.App. – Dallas 2011, pet. filed), raises uncertainty for boards of directors and management of privately held Texas...

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Securities-Law Obstacles to Crowdfunding to Raise Business Capital

Crowdfunding as a method of raising capital for business ventures has received a fair amount of attention over the last year or so.  It has been advocated – in principle, at least – by a number of...

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