Silicon Valley Review S4, Ep35: Did Bream Hall & Erlich Violate SEC Securities Regulation Laws?
June 6, 2017 | By Vela Wood
Silicon Valley Review is a podcast hosted by Kevin and Aaron. Through the years, our firm has represented hundreds of startups and small businesses around the world, and we’re excited to pass along our experience. In this podcast, we review each episode of HBO’s Silicon Valley series and discuss how it applies to your startup and the real venture world as a whole.
In this episode, Kevin and Aaron review Season 4, Episode 35: The Patent Troll and discuss the legality of Bream Hall paying Erlich a finder’s fee and the differences between finders and broker-dealers. They also dive into the pros and cons of hiring an attorney to negotiate a demand letter as well as the three acts that govern investment activity.
- A Patent Conversation with Mark Cuban (IPWatchdog)
- U.S. Supreme Court Puts New Curbs on Locations of Patent Suits (Bloomberg)
- You’ve Got a Great Business, Now Prepared to Get Sued (Blossom Street Ventures)
- FAQs for Dealers and Their Agents (Texas State Securities Board)
- New Finder Rules in Texas: What a Tangled Web We Weave (The Houston Lawyer)
- California’s New Law Legalizing Payment of Finder’s Fees to Unregistered Persons for Securities Offerings (Jeffer Mangels Butler & Mitchell LLP Investment Law Blog)
- The Laws That Govern the Securities Industry (1933, 1934, 1940) (U.S. Securities and Exchange Commission)
- Intrastate Offering Exemptions, 80 Percent Rule (U.S. Securities and Exchange Commission)
See definitions and examples of venture terms used in this episode:
- Finder’s Fee
- Investment Adviser
- Private Offering
- Securities Exchange Act of 1933
- Securities Exchange Act of 1934
- Securities Straight Talk: Securities Laws Matter to Startups (Yes, Yours Too)
- Securities Straight Talk Vol. 2: Out With the Old (Rule 505), In With the New (Rule 504)
- Securities Straight Talk Vol. 3: Keeping it Local—Changes to the Rule 147 Intrastate Offering Exemption
- Securities Straight Talk Vol. 4: Why you Need to Consider Blue Sky Laws Before Conducting a Capital Raise
- Private Offering Exemptions & Crowdfunding Chart
- Understanding Reg D Exemptions for Raising Capital
- VW Startup Lifecycle Infographic
- Protecting Your Intellectual Property
You’ll want to bookmark Venture Glossary as a quick reference for navigating the venture world. We love talking about startups, so follow us on Twitter. And feel free to email us at firstname.lastname@example.org with any comments or suggestions!