The best way for advisers to minimize the costs of trade errors is to accept that such errors occur and create a sound plan of action for when they do.
Even if a private fund adviser is exempt from registration as an investment adviser, it may be subject to other federal and securities laws. This post summarizes the relevant legal issues.
The venture capital adviser exemption exempts an investment adviser that solely advises venture capital funds from registration with the SEC. This article describes the conditions needed to qualify for the exemption.
For issuers using Rule 506, New York requires Rule 506 issuers to file a state-specific form called “Form 99” with the Investor Protection Bureau before selling its securities to New York investors.
A private equity fund is an investment entity that raises capital from investors to make investments in private companies under a specified investment strategy. This post is an introduction to what you need to know.
Rewards-based crowdfunding sites, such as Kickstarter and IndieGoGo, have become a common way to fund new ventures. This post describes the common legal pitfalls and the steps to take to alleviate those pitfalls.