Yesterday by executive order the President expanded the assets permitted in your 401k retirement plan. Prior regulation restricted retirement investments to, in effect, traditional securities and related investments, presumably on the assumption that they were safer, more transparent and less … Continue reading
Category Archives: The Law
The SEC is on a roll, facilitating new regulations to permit full trading of crypto assets and derivatives of crypto assets. An ETP is an “exchange traded product,” a derivative that tracks changes in value of one or more underlying … Continue reading
Even putting aside Trump’s own venture into his own coins, however improper that may be, there is no doubt but that crypto is a rising asset class under the current administration. Yesterday the House of Representatives passed three laws relating … Continue reading
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
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