Waverly Vest is a partner in Bracewell’s finance practice in Houston. He represents and counsels financial institutions, holding companies and their officers, directors and owners. He works with litigation counsel involving claims against financial institutions and their officers and directors, including settlement negotiations with regulatory officials and expert witness preparation and testimony. He can be reached at [email protected].
In October, the SEC announced amendments to certain rules exempting intrastate offerings and other limited offerings from federal registration requirements. The changes are consistent with recent efforts by the SEC to assist smaller companies in accessing capital while maintaining its public policy objective of investor protection. Here’s why.
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