Many start-ups need to raise capital to be able to produce the…
Read MoreStart-Ups and Entrepreneurs: Read This Before Going Through a Financing Round
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Today’s topic surprises and shocks most of my start-up and entrepreneur clients…
Read MoreSEC Risk Alert: 5 Things Not to Do, Advisers!
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Earlier this year, the SEC’s Office of Compliance Inspections and Examinations (OCIE)…
Read MoreSEC Exam Priorities 2017
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This January, as with every January, the SEC’s Office of Compliance Inspections…
Read More3 Essential Tasks for Founders Starting a Venture
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As I’ve written before, the race to opening your new venture is…
Read MoreSEC Issues Risk Alert: Advisers’ Due Diligence Processes for Selecting Alternative Investments
Whether or not 2014 will be the year of the alternative investments,…
Read MoreSetting the Stage for 2014: SEC Announces Exam Priorities
Pay attention to this one. Earlier this month, the SEC Office of…
Read MoreSEC Proposes Regulation A+ For Small Businesses
With all eyes focused on the lifting on the ban on solicitation…
Read MoreYear in Review: SEC Round Up for 2013
I love taking stock of the highlights of a year as it…
Read MoreSEC Issues Guidance on General Solicitation Rules
On November 13, the SEC released Compliance and Disclosure Interpretations (“C&DIs”) for…
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