Monthly Archives: October 2012

Status of New Fund Manager Regulations

For those of you who are or may be making offerings in California, this is an update on the latest regarding the new California regulations regarding investment advisers.  This is important because the California Department of Corporations (DOC) is taking … Continue reading

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Choices for Structuring Preferred Stock Offerings – Bruce E. Methven

As mentioned last time, 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. In terms of equity offerings, … Continue reading

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