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Latest Blog Posts
Criminal Proceedings Against Officers and Directors That Allege Fraudulent Acts: Disclose now or wait for a conviction?
When do companies need to tell investors about criminal proceedings that allege their officers and directors have…
How to get sued…
If you work with us, you will hear it many times that we strongly advise against financial projections … as they can…
Do you really have permission to use those logos?
The Theranos jury’s fraud convictions of Elizabeth Holmes, former CEO and founder of the now defunct Theranos, Inc.,…
Trolls and touts
Well, I thought I’d better blog something before people think we’ve vanished. We’ve just been too busy. But recently…
The SEC files its first enforcement action for Reg CF
The SEC today decided to make a statement against companies considering using Regulation CF for fraudulent offerings,…
Rule 145: An issue for crowdfunding company exits
Startup investors all hope for a great “exit.” Most startups, of course, will never get to that point, but for the…
Reg A and Reg CF issuers: time to count your shareholders!
Reg A and Reg CF have been around for a few years now and we are finding that some of our clients, especially those…
How a member of the crowd made crowdfunding easier
A while back, one of our favorite start-up clients called me and asked me to speak to a potential investor. Paul Efron…
Effective Date of the Amendments to Reg CF and Reg A
The amendments to Reg CF, Reg A, and other rules relating to capital formation utilizing exempt offerings have finally…
Warrant issuers, keep your offering statement evergreen
An increasing number of issuers have been using Regulation A to make continuous offerings of units, consisting of a…
Foreign issuers using Reg A and Reg CF
For some reason, this issue has been coming up a lot lately. Our usual response to the question “Can non-US issuers…
SEC proposes relief for “finders”
I have long (oh so long) been one of those urging the SEC to give some clarity with respect to the status of “finders…
The Reg A Conference
June 17, 2022 to June 17, 2022
September 15, 2022 to September 16, 2022
2022 Equity Crowdfunding Week
September 21, 2022 to September 23, 2022
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