Scott Edward Walker

JUNE 30, 2011

As a general rule, a company may not offer or sell its securities unless (i) the securities have been registered with the Securities and Exchange Commission (SEC) and registered/qualified with applicable state commissions; or (ii) there is an applicable exemption from registration.

Securities and Exchange Commission 76

Securities and Exchange Commission Accredited Investor Private Placement Finder 76

Scott Edward Walker

AUGUST 30, 2020

This past Wednesday, the Securities and Exchange Commission (SEC) adopted amendments expanding the definition of “accredited investor” to include individuals who hold certain professional certifications/licenses or have certain “credentials,” as determined by the SEC. Current Definition of “Accredited Investor”.

Accredited Investor 52

Accredited Investor SEC Securities and Exchange Commission Private Placement 52

The Startup Lawyer

OCTOBER 28, 2010

Whenever a startup considers paying a “finder&# for successful investor introductions, I have the same type of conversation with the founders that goes something like this: – Startup : “Finder&# knows a lot of investors and he’ll introduce us if we pay him [6]% of all capital raised through the introductions.

Finder 72

Finder Private Placement SEC Seed Capital 72

Berkonomics

MAY 22, 2014

The sale of equity in private companies is regulated by the Securities Act of 1933, which requires that the company either register with the SEC or meet one of several exemptions (Regulation D). A Private Placement Memorandum (PPM) is a special business plan defined to meet an SEC exemption. Raising money'

Early Stage 79

Early Stage Accredited Investor SEC Private Placement 79

Startup Company Lawyer

MAY 26, 2012

Crowdfunding: Its Practical Effect May Be Unclear Until SEC Rulemaking is Complete. President Obama signed the Jumpstart Our Business Startups Act (known as the JOBS Act) into law on April 5, 2012. Under pressure from Congress, the SEC agreed to review its regulations and their effect on capital formation in spring 2011.

SEC 58

SEC Securities and Exchange Commission Accredited Investor Private Placement 58

Scott Edward Walker

MAY 15, 2012

What Happens If a Startup is Acquired Prior to the Note’s Conversion to Shares of Preferred Stock? One of the tricky issues that founders must address in the note is what happens if their startup is acquired prior to the note’s conversion (and prior to the note’s maturity date, as discussed below).

Finance 64

Finance Founder Accredited Investor Preferred Stock 64

www.mattbartus.com

DECEMBER 9, 2012

Perspectives on issues affecting founders, startups and investors from a veteran startup lawyer in Silicon Valley. I totally agree that startups should absolutely try to negotiate as best as they possibly can with investors. 25 comments since March 31, 2010 Five questions that startups should ask a pro. Matt Bartus.

Warrant 40

Warrant Valuation Pre-Money Valuation Term Sheet 40