Category : SEC

Posts under "SEC" category

Tax Advantages for U.S. Traders of Securities and Commodities Relocating to Puerto Rico

posted in Capital Raise, Corporate Governance, Financing, News, OTC, Private Companies, Public Companies, SEC, Securities, Startups by Horwitz Armstrong

In January of 2012, Puerto Rico passed Act No. 22, offering incentives for individuals to relocate to Puerto Rico. Other beneficial laws passed in 2012 ensured low maximum tax...

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01 Jul, 16

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GENERAL SOLICITATION UNDER THE NEW RULE 506(c)

posted in Angel Investing, Business Valuation, Capital Raise, Corporate formation, Corporate Governance, Financing, JOBS Act, Private Companies, SEC, SEC Reporting, Securities, Small Businesses, Startups, Venture Capital by Horwitz Armstrong

In the wake of the financial crisis and economic downturn Congress enacted the JOBS Act to significantly ease certain securities law requirements in order to facilitate capital formation and...

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15 Dec, 15

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Multilevel Marketing and Avoiding Pyramid Schemes

posted in Corporate formation, Corporate Governance, Due Diligence, Employment Law, SEC, Uncategorized by Horwitz Armstrong

Multilevel Marketing (MLM) programs, also known as Network Marketing or Direct Selling programs are great ways for businesses to build a brand and introduce new products to the market...

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19 Sep, 15

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SEC Lifts Ban on Advertising

posted in Angel Investing, Capital Raise, Crowdfunding, Financing, Going Public, JOBS Act, SEC, Securities, Startups, Venture Capital by Horwitz Armstrong

The SEC on Wednesday, July 10, 2013, voted 4 to 1 in favor of implementing section 201(a) of the Jumpstart Our Business Startups Act (“JOBS Act”).  Section 201(a) eliminates...

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08 Jul, 13

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Another Update on Crowdfunding

posted in Angel Investing, Capital Raise, Crowdfunding, Financing, FINRA, Going Public, JOBS Act, SEC, Securities, Startups, Venture Capital by Horwitz Armstrong

Although the SEC  missed its deadline for the implementation of certain portions of the Jumpstart Our Business Startups Act (JOBS Act), there is renewed optimism that regulations concerning crowdfunding...

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24 Jun, 13

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Crowdfunding and General Solicitation: The Coming Changes

posted in Capital Raise, Crowdfunding, Financing, JOBS Act, SEC, Securities, Startups, Venture Capital by Horwitz Armstrong

The Securities Exchange Commission (SEC) appears ready to dramatically change the circumstances under which investors are legally solicited.  Historically, since 1933 in fact, the law prohibits companies and brokers...

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13 Sep, 12

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Raising Capital and Finder’s Fees: How to Minimize your Risk

posted in Angel Investing, Capital Raise, Financing, FINRA, Public Companies, SEC, Securities by Horwitz Armstrong

When a company needs to raise capital, people often look to others in their network to connect them with potential investors. These mediating friends are called finders. Finders introduce...

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30 Apr, 12

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Corporate Governance for Public Companies

posted in Corporate Governance, Public Companies, SEC, SEC Reporting, Securities by Horwitz Armstrong

Corporate governance is the use of policies, institutions, laws, and customs to mediate or prevent any conflicts of interest between shareholders and managers. Typically this structure is decided and...

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28 Mar, 12

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