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Latest Blog Posts
If you aren't current in your Reg A reporting, you could still be violating securities laws even if qualified by the SEC
It’s 1-SA filing season again for Regulation A filers, and time to make some observations about the consequences of not…
Crowdfunding annual filing season: still getting it wrong!
So May 2 marked the due date for most companies in the crowdfunding world to file their annual reports on Form 1-K or C…
Are state notice filings for Regulation A issuers still important?
One of the great benefits to issuers under the SEC’s rules for offerings under Tier 2 of Regulation A, effectively…
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…
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