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  • Given the securities laws, one probably ought not to be surprised that there are restrictions on who can be involved in the sale of an offeror's securities.  Generally the top officers of the company can sell the securities, although there are...

    March 11, 2013 | Bruce Methven

  • If an offeror is making an offering that does not allow public advertising, such as a traditional Rule 506 offering, then according to the SEC a pre-existing substantive relationship is required before a potential investor can invest. ...

    January 28, 2013 | Bruce Methven

  • Foreign investors in U.S. companies can be handled one of two ways.  One way to deal with non-U.S. investors is to treat them exactly like U.S. investors.  Another option, though, is to use federal Regulation S with foreign...

    January 9, 2013 | Bruce Methven

  • Information to Be Provided When There Are Non-Accredited Investors One provision of SB 978 requires the offering company to provide additional information regarding the nature of the proposed offering on a form prescribed by the Commissioner of...

    December 20, 2012 | Bruce Methven

  • A number of years ago the SEC effectively banned the use of finders to locate investors for securities offerings that cross state lines.  Still, a few states allow finders for their intrastate offerings (offerings made entirely within that...

    December 11, 2012 | Bruce Methven

  • Many patent applications have been filed, aimed at protecting inventions involving computers. Often the patent claims describe using disc drives or other media for storing data. A common name for data storage devices (such as hard disks, floppy...

    November 29, 2012 | Frederic Douglas

  • The California 25102(n) offering exemption is one of the few that allows some public advertising.  Non-California companies that do more than half their business in California can use this exemption as well – or perhaps form a California...

    November 27, 2012 | Bruce Methven

  • Given that the SEC is on the verge of releasing its final regulations that will allow public advertising of Rule 506 offerings, it’s a good time to review traditional Rule 506 offerings. A Rule 506 offering is the primary type of private...

    November 20, 2012 | Bruce Methven

  • A "trade name" is a name an owner uses to identify his/her business while a "trademark" is used to identify a good or service a business provides. Learn the differences between the two and use both of them to your business's advantage.

    November 15, 2012 | Frederic Douglas

  • Although it takes more time and effort than other types of offerings, a California qualification by permit (25113) offering has major advantages in terms of allowing public advertising and having low investor requirements.  The offering can...

    November 15, 2012 | Bruce Methven

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