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Guidance

SEC opens the door to startup investing

SEC opens the door to startup investing

As reported in the news of the OC Register: A new form of crowdfunding is coming soon that will allow startups to raise money by selling stock to Main Street investors. The Securities and Exchange Commission on Friday adopted rules implementing a 2012 law that opened the door to securities crowdfunding. The vote was 3-1 […]

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Commissioner Aguilar Suggests More Transparency In Waiver Process

Commissioner Aguilar Suggests More Transparency In Waiver Process

SEC Commissioner Luis Aguilar suggested making the waiver process more transparent and accountable.In the past year, waivers have become a contentious issue, with critics saying the SEC is too lenient to big banks that repeatedly violate the laws but are given waivers to continue business as usual. SEC Commissioner Luis Aguilar said he wants the […]

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Brokers challenge restrictions in small stock pilot program

Brokers challenge restrictions in small stock pilot program

Brokerage firms and investment industry trade groups said an SEC plan to test an increase in the trading increments for small company stocks includes trading restrictions that will undermine the purpose of running the test. The SEC said the restrictions are needed to stem the migration of trading volume away from the regulated exchanges. Brokerage […]

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Interactive Data Test Launched to Aid Investors

Interactive Data Test Launched to Aid Investors

The SEC is making bulk sets of company financial information submitted in the eXtensible Business Reporting Language (XBRL) available to investors, academic researchers, and other members of the public. The data is being collected from financial statements prepared in the computer-readable XBRL format and submitted via the EDGAR reporting system. The SEC said on December […]

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Regulatory Review to Examine Sarbanes-Oxley 404’s Effect on Small Companies

Regulatory Review to Examine Sarbanes-Oxley 404’s Effect on Small Companies

The SEC said it will consider the effect more than two dozen rules issued in 2003 have had on small companies. The rules include several stemming from key Sarbanes-Oxley Act provisions, and the review is required by the Regulatory Flexibility Act. The SEC on December 22, 2014, issued Release No. 33-9694, List of Rules to […]

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Fund Sponsor Asks for Expanded Definition of ‘Qualified Securities’

Fund Sponsor Asks for Expanded Definition of ‘Qualified Securities’

Federated Investors, a mutual fund sponsor, asked the SEC to expand the definition of “qualified securities” under the Investment Company Act of 1940 to include money market fund that solely invests in securities issued or guaranteed by the U.S. government. Currently only cash and other qualified securities fall under the definition, and excluding government money […]

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Meet Paul Raymond

Meet Paul Raymond

Mr. Raymond is a sought after speaker in tax controversy law by many attorney, accountant, and business groups and at the request of the Internal Revenue Service, has presented programs at the IRS Nationwide Tax Forum, attended by tax professionals throughout the United States.

Additionally, he continues to be an active member in the Section of Taxation, American Bar Association, where he was the Past Chair of the Employment Taxes Committee.

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Practice Areas & Information

Certifications &
Associations
Member CA Bar Member Orange County Bar US Tax Court Attorney