The Theranos jury’s fraud convictions of Elizabeth Holmes, former CEO and founder of the now defunct Theranos, Inc.,…
Well, I thought I’d better blog something before people think we’ve vanished. We’ve just been too busy. But recently…
The SEC today decided to make a statement against companies considering using Regulation CF for fraudulent offerings,…
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 have been around for a few years now and we are finding that some of our clients, especially those…
A while back, one of our favorite start-up clients called me and asked me to speak to a potential investor. Paul Efron…
The amendments to Reg CF, Reg A, and other rules relating to capital formation utilizing exempt offerings have finally…
An increasing number of issuers have been using Regulation A to make continuous offerings of units, consisting of a…
For some reason, this issue has been coming up a lot lately. Our usual response to the question “Can non-US issuers…
I have long (oh so long) been one of those urging the SEC to give some clarity with respect to the status of “finders…
In its recent rulemaking, the SEC added new Rule 3a-9 under the Investment Company Act to allow for the use of “…
While the costs of preparing an offering under Reg CF are significantly lower than other types of securities offerings…