Posts

When Does a Private Business Loan Transaction Trigger Securities Laws?
June 07, 2021

What is a security? Many find it surprising to discover that there is no specific statutory definition of a “security” under federal or state securities law. The Securities and Exchange Commission (SEC)’s definition of a “security” includes…

A Five-Minute Primer on Registration Rights for Small Business Startups and Investors
July 16, 2019

The offer and sale of securities is regulated by both federal and state law.  At the federal level, securities can only be offered or sold pursuant with a registration statement filed with the Securities and Exchange Commission (“SEC”),…