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A Kinder, Gentler and Leaner SEC May Be in the Offing

A Kinder, Gentler and Leaner SEC May Be in the Offing

The SEC may be moving away from pursuing admissions of guilt by companies as a condition of settling certain fraud cases, according to a Sept. 26, 2017, article in the Wall Street Journal. A kinder, gentler and leaner SEC? The article cited a statement by Steven...

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What Investors Want

What Investors Want

What types of commercial properties are most available for investors? Based on our unscientific (but nevertheless educated) poll of several crowdfunding and investing sites, investors prefer value-add specified offerings with targeted IRR settling mostly in the...

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Going Paperless – Part 2

Going Paperless – Part 2

(This is another in our continuing series of posts with insight into how our office is going paperless - and so can yours!) Did you ever wonder how to maintain the record-keeping system the SEC requires you have to prove you had pre-existing relationships with...

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Are You Confident Your Marketing Practices are Legal?

Are You Confident Your Marketing Practices are Legal?

Guest Post By Tim Boykin / WealthForge Two cases from earlier this year once again highlight the importance of following the broker registration requirement under Rule 15(a) of the Exchange Act.  Rule 15(a) requires registration for a party engaged in the business of...

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Does Your LLC Need a Business License?

Does Your LLC Need a Business License?

So you’ve formed a limited liability company (LLC) for your real estate syndication business. Do you need a business license, too? Do you need to register with the state tax authority, as well? The article at the attached link from "The Hartford: Small Biz Ahead...

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Can I Just Use a Promissory Note?

Can I Just Use a Promissory Note?

I frequently get asked the following questions: “Can I just use a promissory note for investors?” or, “Can I just use an LLC Operating Agreement?” The answer is yes, but … Notes and passive LLC interests are securities. To sell them legally, you still need to qualify...

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8 Questions to Ask Before Hiring a Securities Attorney

8 Questions to Ask Before Hiring a Securities Attorney

Are you hiring the right attorney for your securities offering? When interviewing a firm to see if it meets your needs, the first step is to ask the right questions. Here are eight questions that you should ask before hiring a securities attorney. This article will...

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What is Real Estate Syndication?

What is Real Estate Syndication?

If you have a self-directed IRA or substantial investment funds, you probably have considered investing in real estate. But perhaps you have concluded that you lack the funds to invest on your own. Or maybe you simply don’t want to deal with the hassles of property...

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