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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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Recent Posts

  • Regulation A: THE MINI-IPO
  • When does a Promissory Note become a Security?
  • Can You Sell Securities without Registering as a Broker-Dealer?
  • Hot or Not: Swipe Left or Right on New Stock Launches
  • Ruff Rolls & Gentle Strolls A Dog Bakery Advertises  Stock Using Rule 506(c)

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    Please consult an attorney for advice about your individual situation.  The material on this website is for information purposes and does not constitute legal advice that is tailored to your own personal circumstances and should not replace the legal advice of an attorney.

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