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Rule 506(b):  The Word-of- Mouth Exemption – Heather Becomes Her Own Landlord

by Asher Ang and Dennis Wurst | Jan 14, 2022 | Securities Blog

Heather subsidizes her hefty rent by offering her younger cousin a pretty place to live, while she builds up a savings nest egg and can afford her own place.  Her roommate Brenda works for the treasury department of a major retailer, acting as the coordinator of the...

CAUTION: Do you need to register as an Investment Adviser? 

by Asher Ang | Jan 4, 2022 | Securities Blog

The Investment Advisers Act of 1940 (“Act”) was enacted to regulate financial advisers who provide investment advice to the general public.     The baseline principle of the Act is   (1) any person (2) who, for compensation,  (3) engages in the business of...

Reg S: The Beauty and the Beast of Foreign Securities Sales

by Asher Ang | Dec 22, 2021 | Securities Blog

Guarding our capital markets and protecting American investors from fraud, the US Securities and Exchange Commission (“SEC”) regulates both foreign and domestic issuers that engage in the sale and distribution of securities in the United States.  Without getting into...

What is your fund acquiring? Why does that matter?

by Asher Ang and Dennis Wurst | Dec 7, 2021 | Blog, Securities Blog

What is your fund acquiring?  Why does that matter?  The first question that we ask in fund creation is, “What is your fund acquiring?” Real estate, mineral rights, stock, bonds, commodities, currencies, crypto assets, or interests in other funds (also known as “fund...
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