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Finders' Fees and Securities Laws ( December 2001 )
Generally speaking, federal and Ohio securities laws effectively prohibit finders or promoters from engaging or professing to engage, directly or indirectly, in the purchase or sale of securities with the expectation of receiving a commission, fee or other compensation as a result of such purchase or sale, unless they are properly licensed to engage in such activities. -
On-Line Brokerage: Keeping Apace of Cyberspace--Summary ( December 1999 )
After a series of on-line investing roundtables conducted earlier this year, Securities and Exchange Commissioner . -
Report To Congress On The Eb-5 Investor Visa Program ( November 1999 )
The Omnibus Consolidated and Emergency Supplemental Appropriations Act for Fiscal Year 1999, Public . -
The SEC recently adopted rules requiring the use of "plain english" in certain sections of prospectuses .
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Subsidiary Legislation Enacted Under Mutual Funds Act ( June 1999 )
By notice dated September 3, 1998 the Registrar of Mutual Funds announced that the Governor in Council has approved. -
Wyoming Goes "Prudent Investor" ( March 1999 )
The Wyoming Legislature has approved a "prudent investor" standard that will allow state trust funds grea. -
Securities Law Update ( May 1998 )
This update features the following articles: Disclosure of Year 2000 Issues; Regulation13D-G Amendments; Plain English to Become Mandatory on October 1, 1998; Market Risk Disclosure in SEC Filings; Regulation S Amendments. -
How To Get Your Share Of Venture Capital Financing ( January 1998 )
Wall Street is flourishing at unheard-of levels and is creating record amounts of wealth for many investors. Becau. -
Should I Consider A Strategic Investor As A Source of Capital? ( January 1998 )
Deciding what type of investor to seek for your growing company is a critical decision. Once you are past the initi.
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