Written by Avvo Staff, almost 4 years ago.
A security is a vehicle through which investors can own a share in a business. Securities include stocks, bonds, notes, certificates, and contracts. They are bought and sold either directly by the... more
Written by attorney Peter Wilke, about 1 year ago.
During the Great Depression; no, the one back in the 1930's, not what we're going through now, Congress passed the Securities Act of 1933 (often called the "33 Act" by those in the know). This law... more
Written by Avvo Staff, about 4 years ago.
The United States Securities and Exchange Commission, or SEC, regulates all U.S. stock exchanges, securities brokers and dealers, investment advisors, and mutual funds. Companies that trade stock on... more
Written by attorney Thomas Dreves, about 3 years ago.
Public Offerings without Listing in Japan (POWLs) vs. TSE listing. While POWLs have seen a recent flurry of use in Asian privatizations, listed offerings have their own advantages that may make a... more
Written by attorney Craig Butler, almost 3 years ago.
Ask for a Referral. The oldest method to locate an attorney remains the best way for many as they feel most comfortable when a trusted advisor like an attorney is referred by someone they trust.... more
Written by attorney Craig Butler, almost 3 years ago.
Review the Law Firm’s Website. When reviewing the law firm's website ask the following questions: a. Is it professional? b. Does it appear to be updated regularly? c. Does it provide... more
Written by attorney Stephanie Chandler, over 2 years ago.
Know applicable federal and state law. The referenced article provides an overview of the most typically utilized federal exemptions in Regulation D.
Written by attorney Joseph Wallin, almost 2 years ago.
As soon as President Obama signs the Dodd-Frank Wall Street Reform and Consumer Protection Act(the "Act"), companies raising fundsare going to haveto adjust their definition of "accredited investor"... more
Written by attorney Cory White, over 1 year ago.
When involved in the private placement of securities under Regulation D of the federal securities law, broker-dealers (BDs) are obligated under both SEC and FINRA rules to exercise discretion when... more
Written by attorney Kenneth Priore, about 1 year ago. STAFF PICK
Let's face it- in the startup game, it's all about the equity. Equity compensation plans, which include stock options, permit young companies to compensate employees, consultants and other service... more
