Tag Archives: Venture Capital

SEC Issues Proposed Rules Amending Reg D

The SEC has issued proposed rules amending Regulation D and Form D. The proposed rules are deeply flawed in that they will substantially increase the cost and complexity for startups trying to raise money. How so? The proposed rules make … Continue reading

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Proposed Rules Hard On Startups

Remember that old saying, “Be careful what you wish for, because you just might get it?” Well, that’s sort of how I feel about the SEC’s new rules (see here: http://www.sec.gov/news/press/2013/2013-124.htm). All the lobbying to change the law sort of … Continue reading

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Venture Capital Fund

Flowchart for Exemption Under the Investment Advisers Act of 1940 By Joe Wallin and Asher Bearman This article is appearing simultaneously on The Venture Alley and on Startup Law Blog.  The below flowchart may be helpful to you in answering the question whether … Continue reading

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Washington State to Regulate Venture Fund Managers

This article is appearing simultaneously on The Venture Alley and on Startup Law Blog. Readers may feel free to re-post this content elsewhere as well. The world is changing for venture funds and similar funds in Washington State, and not necessarily for the … Continue reading

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SEC Fires Another Salvo in the “Finder” Debate

The SEC recently issued orders against two individuals and a company and, in doing so, continued the debate over what conduct requires someone acting as a “finder” to be registered as a broker or dealer or associated with a registered … Continue reading

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