Monthly Archives: September 2012

Options for Structuring Promissory Note Securities – Bruce E. Methven.

There are many ways to structure securities to be sold in an offering. How they are structured requires balancing what is attractive to investors with what the company can live with. The basic types of securities are debt and equity, … Continue reading

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Non-Financial Disclosures Required in Offerings – Bruce E. Methven

One basic rule in securities offerings is that in the disclosure document the offeror must disclose everything that a potential investor would reasonably want to know before investing. (“Disclosure document” basically means the private placement memorandum, which is also known … Continue reading

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Fund Managers Required to Register As Investment Advisers – Bruce E. Methven

For a long time managers of many funds were not required to register as investment advisers. This is changing and fund managers (or would-be fund managers) now have a number of important requirements to meet. The changes affect funds that … Continue reading

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