Funding & Capital Raising
SEC Amendments Positively Impact Capital Formation For Emerging Companies

On November 2, 2020, the Securities and Exchange Commission (SEC) voted to amend the existing regulations and those rules went into effect on March 15, 2021. The SEC amendments change the landscape for small businesses and entrepreneurs seeking to raise capital through exempt offerings.


Funding & Capital Raising
The Critical Role that Accelerators Play in Venture Financing

Seed capital provided by accelerators must be provided to startups with great care. Here are three ways accelerators can avoid causing long-lasting negative ramifications for startups.


Funding & Capital Raising
The Mechanics of Converting Convertible Notes

Convertible notes are a great tool for venture financing, however, the actual mechanics of converting convertible notes is not a simple task and requires great care.


Funding & Capital Raising
Advisor Exclusions

There are some specific exclusions from the SEC and Texas state rule for what constitutes an Investment Adviser.


Funding & Capital Raising
Buying What You Are Selling

Unless there is an exemption, an Investment Company needs to file with the SEC and make certain disclosures to investors.


Funding & Capital Raising
The Advice You Give

Generally, any time you are giving advice you need to register. Attorneys, accountants, psychologists, etc. There is no difference when you are giving advice on securities. 


Funding & Capital Raising
The Basics of Convertible Notes

The convertible note is a favorite investment vehicle for many founders and investors alike. This post outlines the key terms and explanations with regard to raising capital through or investing via a convertible note.


Funding & Capital Raising
Negative Covenants in Lending Transactions

In corporate loan agreements, negative covenants are restrictions and prohibitions that are designed to preserve the credit of the borrower as it was when the lender initially made its underwriting decision.


Funding & Capital Raising
Understanding The New Post-Money Safe

While Y Combinator’s new Post-Money SAFE did simplify the process for calculating early-stage equity, it may become problematic under two scenarios.


Funding & Capital Raising
Keep Your Investors Updated (Part II)

A few years ago I wrote a blog about how important it is to keep your investors updated. That is as true today as it was then, but I want to highlight another benefit that I neglected to point out then: […]