Finding A Way.

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),...

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...

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...

3 Essential Tasks for Founders Starting a Venture

As I’ve written before, the race to opening your new venture is characterized by expansive enthusiasm—but that doesn’t make having important legal safeguards any less important. Unfortunately,...

SEC Issues Risk Alert: Advisers’ Due Diligence Processes for Selecting Alternative Investments

Whether or not 2014 will be the year of the alternative investments, many predict that this asset class will play an increasing role in the portfolio allocation...

Setting the Stage for 2014: SEC Announces Exam Priorities

Pay attention to this one.  Earlier this month, the SEC Office of Compliance Inspection and Examination issued its annual list of 2014 examination priorities for a variety...

SEC Proposes Regulation A+ For Small Businesses

With all eyes focused on the lifting on the ban on solicitation and the new proposed equity crowd funding rules, one major rulemaking proposal mandated under the...

Year in Review: SEC Round Up for 2013

I love taking stock of the highlights of a year as it draws to a close, so I am doing a mini-series of posts on topic.  The...

SEC Issues Guidance on General Solicitation Rules

On November 13, the SEC released Compliance and Disclosure Interpretations (“C&DIs”) for the new rules authorizing general solicitation and advertising for securities offerings relying on Rule 506(c)...

SEC Examinations Targeting Advisers Who Are Still Waiting for Godot

I have worked with a number of advisers who have never ever been examined by the SEC, not once in their 10 +, 15+, etc. years of...

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