Friends and Family—A Good Funding Source?

It is tempting. It is difficult to raise funds from angels and…

Read More

Making Sense of Your Options: Raising Capital In Private Offerings

Let’s say you have started/built this really great business that needs funding…

Read More

Costs of Equity Crowdfunding: Are Companies in for Sticker Shock?

When the SEC‘s proposed new rules for Regulation Crowdfunding came out in…

Read More

Mark Your Calendars for Your Annual Review

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

Read More

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

Whether or not 2014 will be the year of the alternative investments,…

Read More

Mark Your Calendars: Key Compliance Dates for Advisers

It’s hard to believe that January is almost over and 2013 just…

Read More

Setting the Stage for 2014: SEC Announces Exam Priorities

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

Read More

SEC Proposes Regulation A+ For Small Businesses

With all eyes focused on the lifting on the ban on solicitation…

Read More

Open for Comment: FINRA’s Funding Portal Rules

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

Read More

The Annual Drill—Calculating Regulatory Assets Under Management for Form ADV

While working on the chapter on Regulatory Assets Under Management for my…

Read More