For many start-ups, their greatest asset is a game-changing idea. To build…
Read MoreSelling Your Business: Acing Due Diligence
You put your company up for sale, potential buyers are lining up.…
Read MoreMark Your Calendars for Your Annual Review
Before you even start reading this, go to Outlook or whatever calendar…
Read MoreSetting the Stage for 2014: SEC Announces Exam Priorities
Pay attention to this one. Earlier this month, the SEC Office of…
Read MoreYear in Review: SEC Round Up for 2013
I love taking stock of the highlights of a year as it…
Read MoreOpen for Comment: FINRA’s Funding Portal Rules
With all the noise about the proposed set of rules for crowdfunding…
Read MoreSEC Issues Guidance on General Solicitation Rules
On November 13, the SEC released Compliance and Disclosure Interpretations (“C&DIs”) for…
Read MoreSAC Capital, Insider Trading and the Southern District
It would be old news already if the case had not garnered…
Read MoreFINRA Cracking Down on “No Fee” Advertising
FINRA recently expressed concerns about broker-dealers who advertise “free” or “no fee”…
Read MoreSEC Examinations Targeting Advisers Who Are Still Waiting for Godot
I have worked with a number of advisers who have never ever…
Read More