Based on input from the State Bar of the California, a bill (AB 667) creating an exemption for finders within California is working its ways through the halls of Sacramento. This is a promising development in an area full of uncertainty. The SEC takes the view that stands for the proposition that anyone, person or…

Since the 19th century companies have used third parties, whether individuals or companies, in their fund raising efforts. Today, companies ranging in size from start-ups to private equity funds rely on finders to help them raise money. Overall, this has been positive for capital formation, especially on the lower end of things. Nevertheless, a minority…

No business owner is excited about spending time and money on following corporate formalities. Maybe they should be. I believe there is a clear benefit in terms of a cost-benefit analysis for most companies. Here are some reasons to pay attention to corporate formalities: 1. Litigation 2. Financing 3. Mergers & acquisitions Litigation While this…

Why should a businessperson care about securities laws? One good reason is that a failure to follow the securities laws of a particular state could cripple a business even resulting in its shutdown. Another good reason is that securities commissioners sometimes name management of a company in their individual capacity as defendants. The following discussion…

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