Category Archives: Federal Law & Regulation

Crowdfunding v. SCOR

The word is now out – Title III equity crowdfunding under the JOBS Act is not going to work very well.  The problem?  It is going to be way too expensive.  Estimates to do an equity raise pursuant to Title … Continue reading

Posted in Federal Law & Regulation, Financings | Tagged , , , , , , | 9 Comments

“Demo Days” and General Solicitation

I’ve been writing an article on general solicitation, a long one, and doing a lot of research.  As part of that, I found the attached SEC No-Action letter that I wanted to share with everyone, because it directly hits on … Continue reading

Posted in Federal Law & Regulation, Startups | Tagged , , , , , | 3 Comments

Securities Law 101

If you are the founder of a startup, unless you plan to self-fund and never grant stock options or other types of compensatory equity awards, you will need to familiarize yourself with both federal and state securities laws. The reason?  … Continue reading

Posted in Federal Law & Regulation, Startup Law | Tagged , , , , , , , , , | 4 Comments

The SEC Releases Crowdfunding Rules…Now What?

The SEC issued its long awaited proposed crowdfunding rules yesterday. NPR asked me for my thoughts on how it might apply and what to expect. NPR Interview More About the SEC Crowdfunding Rules Take a look at the SEC Draft … Continue reading

Posted in Federal Law & Regulation, Financings | Tagged , , , , , , , | 2 Comments

Am I Disqualified From Using Rule 506 If I Miss a Form D Deadline?

I was asked this question today: “If I filed a Form D late a couple of years ago, and the proposed rules go into effect as written, they provide a 5 year look back. Does that mean I will suffer … Continue reading

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