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The author urges lawyers to monitor Securities and Exchange Commission regulatory proposals and submit comments on proposed rules that might have significant effects on business clients.

On Jan. 1, 2024, the federal Corporate Transparency Act will take effect. The Act requires certain entities to report identifying information, the individuals who filed their formation or registration documents, and the individuals who directly or indirectly have substantial ownership of or control. Here's what you need to know.

Lawyers advising businesses in search of seed money from "small" investors (individuals and entities with relatively low amounts at their disposal) must be aware of federal and Wisconsin laws regarding crowdfunding.

It can seem daunting when a client needs help in the area of securities law, if this area is new to you. Law Librarian Elizabeth Manriquez provides a list of resources and how to stay current in this rapidly changing area of law.

Elon Musk's proposed acquisition of Twitter is one of the largest leveraged buyouts in history. The impact of Twitter going private – on both its users and the social media, communication and technology industries as a whole – is yet to be seen.

Jeff Glazer looks at some of the ways in which decentralization and automation are putting strains on the legal frameworks that structure property ownership, organization, and securities in this part 2 of a two-part series about digital currency systems.

In Part 1, Jeff Glazer demystifies and explains cryptocurrency and blockchains: what they are, how they work, and how they're funded. In Part 2, he'll explore the legal issues surrounding these digital currency systems.

Don’t avoid representing clients with claims against brokers or firms because of negative stories about compulsory alternative-dispute resolution. The securities industry’s arbitration process under the Financial Industry Regulatory Authority (FINRA) levels the playing field between large brokerage firms and individual investors.

James Hudson lied to induce victims to give him substantial amounts of money for his country music career. Now, Hudson will be singing the blues in prison, as a state appeals court upheld a plea deal that puts Hudson behind bars for six years.

March 6, 2013 – Investor abuse is at an all-time high, and the elderly are most at risk. In this video, attorney Jeff Salas discusses how financial abuse occurs, reveals the tell-tale signs of investment harm, and explains how investors can bring claims for harm caused by inappropriate investment sales.

Investor abuse is at an all-time high and elderly investors and retirees are especially vulnerable. For investors who lose money due to stockbroker misconduct, there are options for recovery through the Financial Industry Regulatory Authority or state and federal courts.

Jan. 30, 2012 – A shareholder who claimed that seven corporate directors violated both federal and state law by failing to disclose material facts to investors before selling the corporation won’t get any damages, the U.S. Court of Appeals for the Seventh Circuit has ruled.

Dec. 6, 2010 – The City of Menasha cannot use federal securities law to delay a bondholder's request for public records under Wisconsin's public records law, a U.S. Court of Appeals for the Seventh Circuit panel recently held.

When directors and majority shareholders in control of closely-held corporations commit unlawful or oppressive acts, the minority shareholders have various remedies. In Notz v. Everett Smith Group Ltd., the Wisconsin Supreme Court held that a minority shareholder could pursue such remedies following a merger that forced him out.

The Wisconsin Uniform Securities Act (WUSA), which became effective on Jan. 1, 2009, clarifies what is a security, modifies how securities professionals are regulated in Wisconsin, and significantly expands the Division of Securities’ enforcement powers. Attorneys representing Wisconsin-based businesses need to be aware of these and other key issues resulting from the adoption of the WUSA.

May 6, 2009 – Last year’s rampant flooding in Wisconsin pointed out a need that this program is designed to meet. Attend an afternoon of free training from 12:30 to 4:10 p.m. on May 21 in Madison to educate lawyers about common legal issues faced by victims of a natural disaster. Hear legal services professionals from the Federal Emergency Management Agency (FEMA), representatives from the Department of Agriculture, Trade and Consumer Protection, as well as private practitioners discuss how disasters af

April 15, 2009 – The next time you plan to attend a State Bar seminar, you can add it to your electronic calendar when you register by using WisBar’s new “Add to My Calendar” feature. Once you have registered, click the “Add to My Calendar” hyperlink. You will receive an email notification of your event with instructions on how to save the event to your electronic calendar. The feature works for Outlook and Google users.

Apirl 15, 2009 – Did you know that the State Bar of Wisconsin is the official record keeper for agencies that regulate the practice of law in Wisconsin? That means, when your State Bar member record is out of date or incorrect, it affects more than just the Bar. It could affect communications from the Wisconsin Office of Lawyer Regulation, Board of Bar Examiners, and Wisconsin Supreme Court.

April 15, 2009 – Today, our country is experiencing one of the most troubling economic periods since the Great Depression, and the legal profession is not immune from the effects. These difficult times make finding cost-effective ways to connect with paying clients more important than ever.

April 15, 2009 – The State Bar Practice411™ Breakfast & Business: Eggs, Ethics and Answers series will be presented on April 22 in Platteville and June 17 in Pembine. Pembine program information is not yet available. Pembine is conveniently located about an hour and a half from Rhinelander, Green Bay, and Marinette, and about a half hour from Iron Mountain, Mich. Both seminars, presented in two sessions, will begin with a hot breakfast at 8:15 a.m. and conclude at 11:15 a.m.

Every business engaged in Internet commerce or using a Web site to collect personal information – not just those businesses subject to financial services industry regulations – must comply with the Federal Trade Commission rules governing the use and protection of personal information. Failure to comply can be very costly.

Consumers who are facing a mortgage foreclosure or who have been stung by a mortgage rescue scam can contact these entities for help

Although Wisconsin’s housing market did not overheat in recent years as the housing markets did in California, Nevada, and other areas, it is a mistake to view the meltdown and related mortgage foreclosures as someone else’s problem. The authors explain the factors on Main Street and Wall Street that led to the subprime mortgage meltdown and survey the resulting litigation fallout in Wisconsin and elsewhere.

New SEC rules effective Dec. 15, 2006, require publicly traded companies to disclose executive compensation in tabular form with explanations in clear English narrative.

Wisconsin Lawyer

Wisconsin Lawyer

More than 5,300 lawyers, judges, law office support staff, and court personnel subscribe to the State Bar's CaseLaw Express. This free weekly email service keeps members abreast of recent cases that have been added to WisBar's case law archives. Recently redesigned, the new format is easier to scan, saving subscribers valuable time.

The Next Economy Legislation keeps Wisconsin at the forefront with its generally progressive and flexible business entity statutes. This legislation also clarifies and reforms Wisconsin's LLC Act, expands securities law provisions, and adopts several technical changes identified by the Department of Financial Institutions.

The Next Economy Legislation keeps Wisconsin at the forefront with its generally progressive and flexible business entity statutes. This legislation also clarifies and reforms Wisconsin's LLC Act, expands securities law provisions, and adopts several technical changes identified by the Department of Financial Institutions.

Recently passed legislation is offered in response to member requests for more, although highly abbreviated, information on new Wisconsin laws.

The Next Economy Legislation provides greater flexibility for mergers and conversions of business entities, clarifies and reforms Wisconsin's Limited Liability Company Act, expands securities law provisions, and adopts several technical changes identified by the Department of Financial Institutions.

The Next Economy Legislation provides greater flexibility for mergers and conversions of business entities, clarifies and reforms Wisconsin's Limited Liability Company Act, expands securities law provisions, and adopts several technical changes identified by the Department of Financial Institutions.