In the last few years, two important shifts have happened in the local and national securities space that make it easier for companies to take part in pitch events without fear. The one that has garnered the most attention operates at the federal level. The JOBS Act, passed on April 5, 2012, has now made it…
For almost 100 years, companies seeking investors have had to be very careful not to “advertise” an offering – or else risk attracting the ire of federal regulators. To be specific, federal law requires all sales of securities to be either registered with the SEC (aka, “publicly traded” like Apple or Facebook) or else qualify…
One of the early defining moments in the life of a startup is choosing a name. It’s generally the first thing the public knows about you – your first business “pitch” when you really think about it. And it serves as the centerpiece of your brand, so it’s important that you select something that you’re…
Can you be your own lawyer? Yes. Maybe. No. Sort of. In truth, it really depends on the situation. For the easy stuff? Sure. For the more difficult things? Probably not. The big problem is how do you know what is DIY-friendly and what isn’t? A good comparison that I like to use is this:…
New and Evolving Area of Securities Law: Quasi-Public Offerings THE RISE OF “QUASI-PUBLIC OFFERINGS” REFLECTIONS FROM THE NASAA CONFERENCE As I prepare to deliver remarks at the NASAA Corporation Finance Training Conference in St. Louis this weekend, it has provided a cause for reflection on over three years marking the rise of what I would…
U.S. Patent Laws: Understanding the America Invents Act (AIA) With the passage of the “America Invents Act” (AIA), the United States government has decided to conform its patent laws to the international “First-to-File” standard. Essentially, this standard awards the inventor who first files his idea or invention to the United States Patent and Trademark Office…
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