Monthly Archives: May 2019

Materiality and the “Substantial Likelihood Test”

Materiality in is a type of fraud, because it uses informational defects to evade a [...]

EXPERT HELP FOR YOUR PRIVATE PLACEMENT

We recently posted about the advantages of a Private Placement Memorandum (ppm), and the necessity [...]

Functions of Securities Markets

Capital Formation, Liquidity, and Risk Management The three basic functions of securities markets are: capital [...]

DON’T IGNORE THE IMPORTANCE OF TERM SHEETS

According to Forbes, “The term sheet is one of the most critical documents an entrepreneur [...]

IS INVESTING SAFE DURING THE GOVERNMENT SHUTDOWN?

On Thursday, December 27, 2018 the Securities and Exchange Commissionbegan operation within its plan during [...]

Jobs Act of 2012

The JOBS (Jumpstart Our Business Startups) Act of 2012, is an amendment to both the [...]

What is General Solicitation when Selling and Marketing Securities?

General Solicitation is the act of marketing a capital raise publicly. Rule 506(b) of Regulation [...]

SEC Charges Two Advisory Firms with Mutual Fund Share Class Disclosure Violations

SOn December 21, 2018, the Securities and Exchange Commission (“SEC”)announced settled charges against New York-based [...]