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...
Securities Misconceptions Explained

Securities Misconceptions Explained

Are you operating under misconceptions? As a securities attorney, I hear lots of misconceptions from people who think they are NOT selling securities because: “I only have one investor.” Or, “I’m  raising less than a million dollars.” Or, “I have less than 35...