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The New Section 4(a)(7): More Than a Codification of Section “4(a)(1½)”
Raise Capital, Articles Sam Effron Raise Capital, Articles Sam Effron

The New Section 4(a)(7): More Than a Codification of Section “4(a)(1½)”

By Samuel Effron and Cliff Silverman 

On December 4, 2015, the Fixing America’s Surface Transportation Act (the “FAST Act”) was signed into law by President Obama. Although the FAST Act is primarily a transportation bill, buried in this legislation is a new statutory exemption under Section 4(a)(7) of the Securities Act of 1933 (the “Securities Act”) that explicitly permits private resales of restricted securities. This new exemption may increase investor liquidity by facilitating the development of secondary markets in private securities.

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Your Executive Summary is the Key to Attracting the Attention of Investors
Raise Capital, Articles Jeremy Glaser Raise Capital, Articles Jeremy Glaser

Your Executive Summary is the Key to Attracting the Attention of Investors

By Jeremy Glaser

You have raised your friends and family/angel round, built out the beta of your product and have a few early paying customers.  Now it is time to raise the money you need to grow from institutional investors.   How do you get their attention when so many companies are in the same boat as you?  Your executive summary – a one to two page teaser – is the crucial document you need to stand out among the noise and get noticed.

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Why Does a Company Issue Stock Options?

Why Does a Company Issue Stock Options?

By Dan DeWolf

One of the critical keys to a successful venture is aligning the interests of the employees and management with the interests of the shareholders/investors. After all, perhaps the greatest asset of a company is its people. Without a competent and motivated workforce, a venture is unlikely to succeed no matter how great an idea or business concept is involved.

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