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Early Stage 10: The nuances of federal laws

Editor's note: This is the 10th in a series of articles on developing start-up companies in the technology or biotechnology sectors.

Madison, Wis. - In Step 9 we discussed general concepts on the securities laws. This time we focus specifically on the federal laws.

Any business that offers or sells securities is subject to both state ......

Full article >>> east nine months.

The SEC has also adopted Regulation D, which establishes three rules that provide exemptions from the registration of securities being sold across state lines. The first of these, Rule 504, exempts from registration sales of securities in offerings of less than $1 million. This exemption does not limit to whom the securities may be sold, nor are there any requirements......

Full article >>> y upon if a business can be certain that it will not need to raise additional capital shortly after the first offering. If an offering of securities made in reliance on any of the Regulation D rules occurs within six months of another offering, it will be considered integrated - or combined - with the other offering.

This means that if the total raised in two integrated offerings excee......

Full article >>> llows a form of registration called SCOR for offerings of less than $1 million, but requires the disclosure of prescribed information to investors. Unfortunately, most states require their own review and regulation of SCOR offerings, which usually means that compliance with both state and federal laws becomes costly and time consuming, especially if several states are involved.


Full article >>> e business formation. He has a law degree and an MBA from University of Wisconsin-Madison and a bachelor's degree from St. Norbert College.

The opinions expressed herein or statements made in the above column are solely those of the author, and do not necessarily reflect the views of Wisconsin Technology Network, LLC.

Full article >>>
'"/> By Joe Boucher 05/04/07

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1. Early Stage: Step 11 - Other forms of finance
2. Early Stage, Step 9: Raising capital in the securities landscape
3. Early Stage, Step 8: Misclassifying workers brings risk
4. Early Stage 7, Part I: Just what is an employee?
5. Early Stage: Step 6 - Taxes, taxes, taxes!
6. Early Stage: Step 5 - Forming the entity
7. Early Stage, Step 4: Cautionary trademark tales
8. Early Stage, Step 3: Naming the entity
9. Early-stage quality brings investment, Meier says
10. Early-stage executives hear from investors
11. Early Stage Step 2: Choosing a domain name
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