Posts by Robert R. Kaplan, Jr.

State “Blue Sky” Compliance Strategies

State “Blue Sky” Compliance Strategies

When it comes to securities, regulatory exposure doesn’t begin and end with the U.S. Securities and Exchange Commission. In fact, every state in the union has its own set of securities laws — and failing to adhere to their requirements can cause significant legal and...
Reg A Investment Basics

Reg A Investment Basics

Small businesses drive our economy, serving as the primary engine for job creation. The Jumpstart Our Business Startups (JOBS) Act, which former President Barack Obama signed into law in April 2012, facilitated their growth, easing regulatory restrictions to encourage...