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The Ultimate Guide to the Advisers Act: A Practitioner’s Handbook

PRESS RELEASE - NEW YORK, NY, January 13, 2015

"The Ultimate Guide to the Advisers Act: A Practitioner’s Handbook" gives investment advisers a clear look at the Advisers Act.

Eckerle Law founder releases a practical, plain-English guide for the day-to-day practitioner on how to comply with regulations imposed by the Investment Advisers Act in the post Dodd-Frank era.

START-UPS

Anatomy of Seed Stage Convertible Notes by Bettina Eckerle

Anatomy of Seed Stage Convertible Notes

As I outlined in my last post, convertible notes are the most frequently used instrument for raising capital at the seed stage. This article describes their key…

START-UPS

Choosing the Right Seed Financing Instrument for Startups by Bettina Eckerle

Choosing the Right Seed Financing Instrument for Startups

When I advise startups or investors about structuring a seed-stage investment, I explain that there are a number of different instruments to choose from.  They vary in complexity…

START-UPS

5 Things Every Private Company MUST Understand before Launching an Equity Incentive Plan

5 Things Every Private Company MUST Understand before Launching an Equity Incentive Plan

There is a point in the life of every start-up when it needs to establish a plan to reward its employees for their service by giving them…

THE BOOK

Make compliance an asset.

Read my practical guide for all your day-to-day compliance needs.

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ENTREPRENEURS

Start-Ups and Entrepreneurs: Read This Before Going Through A Financing Round! by Bettina Eckerle

Start-Ups and Entrepreneurs: Read This Before Going Through a Financing Round

Today’s topic surprises and shocks most of my start-up and entrepreneur clients when they consult me about a potential capital raise. Under the Securities Act of 1933 (Securities Act),…

ENTREPRENEURS

Intellectual Property

Intellectual Property: Are You Set Up For Success?

One of my mantras when advising clients is to pay particular attention to their intellectual property when thinking about building value in their companies. This requires a…

ENTREPRENEURS

Selling Your Business: Acing Due Diligence

You put your company up for sale, potential buyers are lining up.  What then follows is the inevitable: The due diligence process, in which the buyer kicks…

NEWS & TRENDS

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FINANCIAL ADVISERS

SEC Risk Alert - 5 Things Not to Do by Bettina Eckerle

SEC Risk Alert: 5 Things Not to Do, Advisers!

Earlier this year, the SEC’s Office  of Compliance Inspections and Examinations (OCIE) published a Risk Alert with the “five compliance topics most frequently identified in deficiency letters to…

FINANCIAL ADVISERS

SEC Exam Priorities 2017

SEC Exam Priorities 2017

This January, as with every January, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its examination priorities for investment advisors for the year, many of…

FINANCIAL ADVISERS

Cyber-Attacks, and the Seven Steps to Protect Your Advisory Business

Cyber-Attacks, and the Seven Steps to Protect Your Advisory Business Against Them

It sounds futuristic, or like CSI: Cyber, a sci-fi world of white hat/ black hat hackers, and of constant threats to national security and the financial markets…

FINANCIAL ADVISERS

The Advisor as Fiduciary, 2015, Vol. 2

This is my favorite topic. If you read my last post, you understand why I believe that acting in the spirit of "fiduciary" sets every advisory firm…

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