Protecting Your Start-Up’s Assets: The Non-Disclosure Agreement

For many start-ups, their greatest asset is a game-changing idea. To build…

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Selling Your Business: Acing Due Diligence

You put your company up for sale, potential buyers are lining up.…

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Mark Your Calendars for Your Annual Review

Before you even start reading this, go to Outlook or whatever calendar…

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Setting the Stage for 2014: SEC Announces Exam Priorities

Pay attention to this one.  Earlier this month, the SEC Office of…

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Year in Review: SEC Round Up for 2013

I love taking stock of the highlights of a year as it…

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Open for Comment: FINRA’s Funding Portal Rules

With all the noise about the proposed set of rules for crowdfunding…

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SEC Issues Guidance on General Solicitation Rules

On November 13, the SEC released Compliance and Disclosure Interpretations (“C&DIs”) for…

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SAC Capital, Insider Trading and the Southern District

It would be old news already if the case had not garnered…

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FINRA Cracking Down on “No Fee” Advertising

FINRA recently expressed concerns about broker-dealers who advertise “free” or “no fee”…

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SEC Examinations Targeting Advisers Who Are Still Waiting for Godot

I have worked with a number of advisers who have never ever…

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