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Business Organizations Archives

Why Some "Finders" May Not Be Keepers

Firms may regret their decision to hire finders that are not registered broker-dealers, or individuals that are not associated with registered broker-dealers, to connect them with potential investors. Section 15(a)(1) of the Securities and Exchange Act of 1934 states that non-registered persons who use any "instrumentality" to "induce" the purchase or sale of a security are unlawful.

Dropbox v. Box: Is a Private Placement Better than an IPO?

Dropbox and Box are two rival cloud-storage companies that are raising large amounts of capital lately, but they are doing it in different ways under the securities laws. Success and failure in an emerging industry is often determined by which competitor has more cash. The big question is which company will emerge the strongest: the company that raised private capital or the one that raised public capital?

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