Professor VC

NOVEMBER 14, 2011

These investments would be exempt from registration under the 1933 SEC Act. There is a reason the SEC exists. I cant remember if the SEC was one of the government agencies that Rick Perry wants to get rid of (but neither can he ), but it seems like this is the exact type of investor that the SEC was set up to protect.

SEC 54

SEC San Jose Angel Investor Accredited Investor 54

The Startup Magazine

FEBRUARY 7, 2025

RIAs must register with the Securities and Exchange Commission (SEC) or state regulatory authorities, adhering to strict regulations designed to protect clients and ensure professional integrity. RIAs leverage insights from behavioral finance to help clients identify common cognitive biases that may hinder sound investment decisions.

Securities and Exchange Commission 138

Securities and Exchange Commission Portfolio Finance Due Diligence 138

Startup Company Lawyer

MARCH 12, 2009

C corps, LLCs, and S corps differ significantly in the areas of taxation, ownership, fundraising, governance and structure, and employee compensation. Any company that raises venture financing will need to be a C corp in order to issue preferred stock. In any event, the S corp election can be easily revoked at the time of a financing.

LLC 61

LLC Stock Options Preferred Stock Stock 61

Startup Professionals Musings

SEPTEMBER 29, 2014

A few years ago it was all the rage to have MBAs in the top finance role. These days, with Sarbanes-Oxley and all the new SEC regulations, an MBA does not begin to cover the accounting, process, and tax knowledge needed to steer a company’s finances. The job of a startup CFO is very different from one at a “big” company.

NDA 248

NDA CPA SEC Startup 248

Up and Running

AUGUST 28, 2019

This option takes greatest advantage of your knowledge of your state and its laws, the helpful local people you know, and the ability to physically visit government offices if needed. Because of its popularity, Delaware is also statistically a popular state for investors to finance businesses.

Delaware 83

Delaware Stock Nevada Technical Review 83

SiliconHills

OCTOBER 23, 2013

Early next year, startups may be able to raise money from the general public to finance their ventures. The Securities and Exchange Commission on Wednesday released its long-awaited proposed rules governing the practice of equity-based crowdfunding that allows startups to sell securities directly to the public.

SEC 92

SEC Securities and Exchange Commission Equity San Antonio 92

Startup Professionals Musings

MARCH 9, 2013

A few years ago it was all the rage to have MBAs in the top finance role. These days, with Sarbanes-Oxley and all the new SEC regulations, an MBA does not begin to cover the accounting, process, and tax knowledge needed to steer a company’s finances. The job of a startup CFO is very different from one at a “big” company.

NDA 237

NDA CPA Startup SEC 237

Pascal's View

MARCH 18, 2010

Susan Mangiero , CEO of Investment Governance’s Fiduciary X , asked me the following: Question: Do you think than anemic IPO market will remain a deterrent to VC investing? For more on the SEC Concept Release, click HERE. Yes I do. equity markets. I believe that the U.S.

IPO 28

IPO Government SEC Venture Capital 28

Startup Professionals Musings

JANUARY 7, 2011

A few years ago it was all the rage to have MBAs in the top finance role. These days, with Sarbanes-Oxley and all the new SEC regulations, an MBA does not begin to cover the accounting, process, and tax knowledge needed to steer a company’s finances. The job of a startup CFO is very different from one at a “big” company.

NDA 233

NDA CPA Startup SEC 233

Gust

JULY 18, 2012

Perhaps no better example exists than the term “ Corporate Governance.” Framed that way, “corporate governance” starts seeming a lot less dry and academic. ” Typical governance structure (Sony Corporation).

Stock Options 188

Stock Options SEC Stock Government 188

Steve Blank

JUNE 24, 2013

Rent seekers are individuals or organizations that have succeeded with existing business models and look to the government and regulators as their first line of defense against innovative competition. They use government regulation and lawsuits to keep out new entrants with more innovative business models. Rent Seekers. No regulation?

North Carolina 227

North Carolina New Jersey New York Government 227

Gust

SEPTEMBER 21, 2014

A few years ago it was all the rage to have MBAs in the top finance role. These days, with Sarbanes-Oxley and all the new SEC regulations, an MBA does not begin to cover the accounting, process, and tax knowledge needed to steer a company’s finances. The job of a startup CFO is very different from one at a “big” company.

NDA 147

NDA CPA SEC Startup 147

Seeing Both Sides

DECEMBER 3, 2009

  I don’t know what happened at Canopy, and reports that the SEC has accused them of falsification of audit statements sounds extraordinary, but in any event the KPMG senior auditors should have been meeting directly with the audit committee board members, without management present, to sniff out any improprieties.

Technical Review 31

Technical Review Silicon Valley Due Diligence SEC 31

abovethecrowd.com

APRIL 20, 2016

Why the Unicorn Financing Market Just Became Dangerous…For All Involved. By the first quarter of 2016, the late-stage financing market had changed materially. Investors were becoming nervous and were no longer willing to underwrite new Unicorn-level financings at the drop of a hat. This is uncharted territory.

IPO 40

IPO Term Sheet Silicon Valley Valuation 40

This is going to be BIG.

APRIL 1, 2013

In the past week, both AngelList and FundersClub got SEC "No action" letters --notices that their crowdfunding platforms were going to be allowed to keep operating without fear of getting run over by the government. That is why some entrepreneurs have turned towards an alternative to getting investment from us. call it karma.

SEC 110

SEC Angel Investor Salary Finance 110

Mike Michalowicz

OCTOBER 19, 2015

Seth’s role there was to perform audits; prepare tax returns for Corporations, S-Corps, LLC’s, Partnerships; and bankruptcy compilation work for SEC reporting and litigation. An accounting firm based in Santa Monica, CA, specializing in bankruptcy, from 2001 to 2003.

Video 60

Video SEC Bankruptcy Wisconsin 60

Early Growth Financial Services

APRIL 30, 2013

These entrepreneurs envisioned joining their tech-savvy competitors and colleagues in the new world of “crowdfunding,” where startups vie for average investors’ dollars through website offerings unencumbered by the strict rules and regulations that govern other types of financings.

Securities and Exchange Commission 54

Securities and Exchange Commission SEC Government Finance 54

Board Effect

MARCH 3, 2021

Such risks aren’t working taking as they can leave your board in violation of SEC regulations or other current or future regulations. If the board is practicing good governance, the board administrator or board chair should be sending out the agenda, board reports, and committee reports along with the board meeting handbook.

Security 78

Security Community SEC Framework 78

Steve Blank

OCTOBER 26, 2009

These technology startups had no risk capital – just customers/purchase orders from government/military/intelligence agencies. Million in 1946 as a closed-end mutual fund ) which meant ARD was regulated by the Securities and Exchange Commission (SEC.) military and intelligence agencies and defense contractors.

Silicon Valley 183

Silicon Valley Securities and Exchange Commission Venture Capital RSS 183

Startup Lessons Learned

MAY 4, 2021

What is the role of public and private organizations in governing our shared civic fabric? And of course, I wasn't really interested in the finance side of it to me. And so, all of a sudden, you have finance, and compliance, and bankers, and folks like that. This is Out Of the Crisis. What are institutions for? I'm curious.

IPO 113

IPO Cofounder Technical Review Government 113

abovethecrowd.com

JUNE 2, 2021

When one agent acts on behalf of multiple principals, the multiple principals have to agree on the agent’s objectives, but face a collective action problem in governance, as individual principals may lobby the agent or otherwise act in their individual interests rather than in the collective interest of all principals.”

IPO 82

IPO Customer Matching Silicon Valley 82

Both Sides of the Table

SEPTEMBER 17, 2017

If you read the headlines or talk with zealous friends you may well think cryptocurrencies are either our savior from bureaucratic, ossified governments or are purely speculative Ponzi schemes. More Stable Currency for Some Citizens of the World Some people don’t trust their governments with a national currency.

Government 280

Government Distribution Stock United States 280