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Securities Law Articles

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October 29, 2024
Private Equity for Business Owners: A Comprehensive Guide to Investments, Benefits, and Challenges

Private equity (PE) has become an increasingly prominent avenue for business owners seeking capital infusion, growth opportunities, and strategic partnerships.

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October 22, 2024
Private Securities Offerings: Regulation D Compliance Guide

Raising capital through a private securities offering hinges on mastering Regulation D and engaging the right investors. Efficient and less public...

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November 5, 2021
4 Lessons From Shark Tank: Be a Founder, Not a Flounder

The massively popular ABC reality show Shark Tank puts entrepreneurs in one of the most high-pressure situations you can imagine – pitching their business ideas to venerable titans of industry on national television.

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October 1, 2021
The Amazing Tale of Theranos: What it Means for Founders, CEOs, and Investors

Theranos, a spectacular American business crash-and-burn, is the start-up that keeps on giving – in the form of lessons for founders, CEOs, and investors. Once a technology and media darling embraced by investors, Theranos’ inevitable demise came when it failed for 15 years to produce promised results.

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June 2, 2021
Protective Provisions in LLC Operating Agreements: Why They Matter

You came up with the right business idea, formally organized your LLC, are about to raise some seed money from friends and family, and you are ready to prepare the operating agreement for your company.

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April 16, 2021
‘Acqui-Hire’ Transactions: Their Place in the M&A Universe

The purpose of a typical merger or acquisition is to acquire the customer base and other assets of the target company. However, in certain cases — and in certain industries in particular — companies are acquired exclusively for their labor talent.

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November 23, 2020
Section 1202 and Qualified Small Business Stock

Planning for the most favorable tax treatment on their investment is always a major consideration for investors. Because of a renewed interest in using C corporations as investment vehicles as a result of the reduction to the corporate tax rate to 21% under the Tax Cuts and Jobs Act of 2017, investors have shown a renewed interest in the potential tax benefits under Section 1202 of the Internal Revenue Code (IRC), making understanding its basics important for corporate founders and CEOs and prospective investors alike.

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October 26, 2020
Understanding and Structuring Board Observer Rights

Venture capital firms and other equity investors commonly request the right to have an observer attend the board of director meetings of their portfolio companies.

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September 15, 2020
Accredited Vs. Non-accredited Investors: Avoiding The Pitfalls

When seeking investors, entrepreneurs and business owners may be approached by individuals, including friends and family, who do not qualify as “accredited investors” under securities laws. Depending on where a business is in its lifecycle, accepting funds from these types of individuals may range from appealing to essential, or a business owner may simply desire to include them in the investment opportunity.

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May 12, 2020
Overview of Equity Incentive Compensation for Startups and Early Stage Companies

Hiring and keeping talented employees is a challenge for many businesses, but in particular for startups and early-stage companies that are more limited in the amount of cash flow they can commit to competitive salaries.

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