SEC

Securities Exemptions for Employee Stock Options (Rule 701)

By Amy Riedel   Once a growing startup begins to take on employees and advisors, one of its first considerations is incentivizing key team members or key advisers with equity.  Often, these are awards in the form of options or grants. A stock option gives the holder the ability to buy stock at an agreed …

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Equity Crowdfunding in Washington: The New Frontier in Venture Capital?  

By Amy W. Riedel As many of you may know, Washington State’s governor, Jay Inslee, signed the Washington State Jobs Act on March 28, 2014.  Our very own Peter J. Smith blogged about this development last spring. By enabling crowdfunding on the state level, Washington State is providing a more immediate solution for entrepreneurs and …

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Patagonia Launches In House Fund

There is lots of movement in the social impact investment space lately it seems.  Yesterday on Businessweek.com there was an interesting piece on Patagonia, California’s first Benefit Corporation, and its announcement of the creation of an in house venture fund aimed at startups looking to make a positive social impact in these distinct areas:  clothing, …

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Kickstarter and Scam Artists

The concept of crowdfunding is very intriguing to me.  The idea that a young company could utilize a tool such as Kickstarter to fund a new venture, thus avoiding the costly and difficult prospect of acquiring traditional venture capital, is exciting.  Indeed sites that help small businesses acquire funding have started to carve out a …

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Trying to Raise Capital? Seven Things Every Executive Summary Should Include

For Companies seeking to raise seed capital, or going out for investor financing, it is important to make sure your Executive Summary is well put together Executive Summaries are documents companies use when they begin to try to raise money and are used whether a company is pursuing early stage start-up financing or later capital …

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Unsettling – Judge Rakoff asks the SEC for an explanation in Citigroup matte

Securities case on hold as Judge asks SEC to provide a factual basis for their settlement agreement with Citigroup. On October 19, 2011, the Securities and Exchange Commission (“SEC” or the “Commission”) filed a lawsuit against Citigroup Global Markets Inc. (“Citigroup”) in the United States District Court, Southern District of New York. The Allegations In …

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