Those who introduce investors to companies seeking financing (“finders”) have had an historically uneven regulatory history. Although there were moments in time when a finder, receiving compensation, did not run afoul of the SEC as being an unregistered broker-dealer, for … Continue reading
Stephen Honig
It has been a couple of months between posts; apologies, this period has been intense on the work and travel fronts. Further, the US government, as I am sure everyone knows, has been active in changing the ground-rules for businesses … Continue reading
Many start-ups are rightly absorbed in technological and product development, protection of innovation, hiring, market research and– oh yes, money to survive. Although CEOs abstractly admit that having an experienced board of directors could indeed be very helpful, as a … Continue reading
No secret that the Administration is cutting funding in many ways, including University research and the FDA. Although we do not know the full extent of these cuts as to substance and time, no doubt start-ups and M&A activity will … Continue reading
My post of March 14 discussed pending legislation in Delaware to stop the migration of companies from that State to jurisdictions less protective of shareholder rights (such as Texas and Nevada). These new laws have just been passed, with Delaware … Continue reading
It may be confusing, if you are not a lawyer with securities law background, to understand some of the current chatter about Crypto and whether it is a security such that it need be registered with the SEC. Before the … Continue reading
By now all should know that CTA is shorthand for a program requiring a federal filing of ownership and control for businesses in the United States which are below a size threshold. No doubt many readers here have control or … Continue reading
You have likely noted that Elon Musk, and many other CEOs, have been moving their corporate registration to Texas, which has shall we say more management-friendly laws than Delaware. What you likely did not know is that 20% of Delaware’s … Continue reading
It is no secret that the current Administration is attempting to dismantle DEI initiatives. It is also to be noted that the 2023 Supreme Court case involving Harvard made clear that Federal funding was at risk for DEI-adherent institutions, and … Continue reading
Since my most recent post on February 20 concerning CTA, the Feds have issued two more announcements, described below. The chaos in this Administration, and the confusion it breeds both here at the law office end and without question among … Continue reading