Free Guides for Deep Tech Founders
I get many emails that asking for advice on a wide range of topics – here are some guides that cover what I’ve learned over time.
The Securities Act Often referred to as the “truth in securities” law, the Securities Act of 1933 has two basic objectives:...
Securities Exchange Act With this Act, Congress created the Securities and Exchange Commission. The Act empowers the SEC with broad authority over all aspects of the securities industry. This includes...
Trust Indenture Act This Act applies to debt securities such as bonds, debentures, and notes that are offered for public sale. Even though such securities may be registered under the Securities Act...
Investment Company Act of 1940 This Act regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and trading in securities, and whose own...
Investment Advisers Act This law regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners compensated for advising others about securities investments...
Sarbanes-Oxley Act of 2002 On July 30, 2002, President Bush signed into law the Sarbanes-Oxley Act of 2002, which he characterized as “the most far reaching reforms of American business practices...