Category Archives: Federal Law & Regulation

Do I have to make a Section 83(b) election?

Q:   I just exercised a vested stock option.  Do I now have to make a Section 83(b) election? A:   No, unless your company’s stock option plan documents contain unusual or atypical provisions.  Typically you do not have to make a … Continue reading

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More Questions About General Solicitation

There is a lot of confusion about the SEC’s new rules that will allow, starting September 23rd, the general solicitation and general advertisement of private company securities offerings under Rule 506(c) of Regulation D. If you want to read these … Continue reading

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Questions Over General Solicitation Rules

Folks have a lot of questions about the SEC rules regarding general solicitation that go into effect on September 23rd. (Check out the SEC Rules). On September 23rd, it will become legal for corporations to generally solicit their Reg D … Continue reading

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What should you do before generally soliciting?

What happens on September 23rd? You can generally solicit your private company securities offering under Rule 506(c) of Regulation D. What are the drawbacks? 1. You can only accept “accredited investors.” What is an “accredited investor”? Generally this means a … Continue reading

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Pitfalls of The Proposed Regulation D Rules

There is an argument going around that the proposed Reg D rules are not that bad because they affect only companies that are going to generally solicit their Reg D securities offerings. This is simply not true. The SEC’s proposed … Continue reading

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