Private placement debt offerings offer a compelling alternative to traditional lending for many companies. The legal landscape governing these transactions involves key statutes, regulations, and the critical steps required to…
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/ Commercial Law & Contracts, Finance & Banking, Securities Law
Federal Securities Lawyer and Founding Attorney of Oberheiden P.C., Dr. Nick Oberheiden, answers FAQs about private placements under Regulation D…
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/ Business Organizations, Finance & Banking, Securities Law
Whistleblowers play a key role in the federal government’s ongoing fight against procurement fraud. Government procurement fraud is extraordinarily costly; and, despite the government’s vast resources, detecting procurement…
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/ Civil Procedure, Commercial Law & Contracts, Government Contracting
Government procurement fraud is pervasive. The vast majority of government procurement fraud goes undetected, and federal agencies rely heavily on whistleblowers to help them determine when scrutiny is warranted. Blowing the…
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/ Administrative Law, Antitrust & Trade Regulation, Criminal Law, Government Contracting
Regulation A+ has emerged as a powerful tool for companies seeking to raise capital from both accredited and non-accredited investors. This Regulation A+ Offerings Guide provides a comprehensive overview of Regulation A+,…
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/ Business Organizations, Finance & Banking, Securities Law
Early crowdfunding often broke securities laws due to unregistered offerings. In 2015, the SEC's Regulation Crowdfunding (Regulation CF) addressed this, stemming from the JOBS Act. It provides an exemption for certain…
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/ Business Organizations, Finance & Banking, Securities Law
For companies seeking to raise capital without the complexities and costs of a public offering, Regulation D under the Securities Act provides a valuable exemption from SEC registration. This allows for private placements,…
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/ Business Organizations, Finance & Banking, Mergers & Acquisitions, Securities Law
Section 4(a)(2) private placements can help companies raise capital without an Initial Public Offering (IPO). While exempt from registration, these offerings do require strict compliance to avoid legal pitfalls. Companies must…
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/ Finance & Banking, Mergers & Acquisitions, Securities Law
A couple of recent large-scale enforcement actions suggest that the U.S. Department of Justice (DOJ) may be placing increased emphasis on targeting black market prescription drug diversion. This is when pharmaceutical…
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/ Antitrust & Trade Regulation, Commercial Law & Contracts, Criminal Law, Health
Targeting multi-level marketers (MLMs) and other “money-making opportunity sellers” has been among the U.S. Federal Trade Commission’s (FTC) top priorities in recent years. The FTC has pursued several enforcement actions…
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/ Antitrust & Trade Regulation, Consumer Protection, MLM / Direct Sales
Financial institutions need to remain vigilant about managing anti-money laundering and Bank Secrecy Act (AML/BSA) compliance in 2025. As the financial ecosystem becomes increasingly complex, and as transactions increasingly…
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/ Administrative Law, Finance & Banking, Securities Law
When it comes to raising capital for your business, private placements offer a compelling alternative to traditional methods like bank loans or venture capital. However, navigating the intricate legal landscape of securities…
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/ Business Organizations, Finance & Banking, Securities Law
As a U.S. taxpayer, one of the last things that you want to hear is that the Internal Revenue Service (IRS) has disagreed with your tax assessment and has imposed penalties for noncompliance. The good news is that the IRS abates…
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/ Administrative Law, Business Organizations, Taxation
The U.S. Environmental Protection Agency (EPA) expects companies to self-police their environmental compliance efforts. While the EPA regularly conducts inspections focused on assessing environmental compliance, it also relies…
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/ Administrative Law, Business Organizations, Environmental Law
The United States Environmental Protection Agency (EPA) has long conducted inspections to assess the efficacy of companies’ environmental compliance programs. However, under the EPA’s Climate Enforcement and Compliance Strategy…
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/ Administrative Law, Commercial Law & Contracts, Environmental Law
