Category Archives: Securities

New rules for Comfort Letters

Posted on June 22, 2012 by

A company that wants to issue securities generally needs a ”Comfort Letter” from an auditor saying that the company’s books are o.k.  I edited the Comfort Letters entry to reflect new AICPA rules for Comfort Letters issued in October 2011, and to introduce new rules for … Continue reading →

Posted in Accounting and Audting, Business Information, Securities | Leave a comment

A securities law send-off for 2011

Posted on December 31, 2011 by

I ended the year working on some of the securities law entries.  I added a list of useful treatises and a new a paragraph on Regulation D to the Private Placements entry.  I also added a “Treatises” section to the Blue Sky Laws entry and revised the … Continue reading →

Posted in Securities | Leave a comment

Annual Reports entry updated and expanded

Posted on December 11, 2011 by

This morning I updated and expanded the Annual Reports entry.   New stuff includes a link to the IRIN collection of free historical annal reports, a name change from “Westlaw Business” to “Thomson Reuters Accelus™ Business Law Research,” and a cross-reference from the list of historical … Continue reading →

Posted in Business Information, Company Information, Securities | Leave a comment

Three additions to the Background Checks checklist

Posted on November 13, 2011 by

I wrote up three more sections for the new Background Checks entry: Publications, Employers’  Websites and SEC Filings.

Posted in Background Checks, People, Publishers and Publications, Securities | Leave a comment

Online sources for intraday stock prices

Posted on August 6, 2011 by

I updated the section on “Intraday Trades and Quotes” in the Stock Prices entry.  Big thanks to Tamara Phalen for letting me know about NASDAQ-On-Demand and TickData.com.

Posted in Business Information, Securities | Leave a comment

Free Annual Reports in PDF format

Posted on June 25, 2011 by

AnnualReports.com provides recent Annual Reports for U.S. companies, usually in PDF format, for free.  Who wouldn’t love that?  There is also a U.K. version called AnnualReportsUK.  Both versions are welcome additions to the Annual Reports entry.

Posted in Company Information, Securities | Leave a comment

Venture Capital: drafting and negotiating Term Sheets

Posted on June 2, 2011 by

When a Venture Capital firm gets interested in a start-up company, the VC gives the start-up a “Term Sheet” which, after some negotiation, can serve as a blueprint for the deal.   For information on drafting and negotiating Term Sheets, see the new “Term Sheets” section at the … Continue reading →

Posted in Business Information, Securities | Leave a comment

New entry for SEC Filings

Posted on April 4, 2011 by

I moved the information from the “Filings” section of the Securities and Exchange Commission entry to a separate entry called SEC Filings.  I’ve been meaning to do that for years.

Posted in Company Information, New Entries, Securities | Leave a comment

Two more law firm memo sites

Posted on March 27, 2011 by

The new “Publications” section of the Law Firms entry keeps on growing — I just added a subscription-based site called knowledgemosaic that covers almost 50 practice areas, and a free business-and-securities site called myCorporateResource.com.

Posted in Business Entities, Publishers and Publications, Securities | Leave a comment

Stock quotes

Posted on November 2, 2010 by

Big Over-the-Counter stocks generally trade on the NASDAQ, while most of the rest trade on the Pink Sheets.  I just learned that the Pink Sheets have a smaller competitor called the OTC Bulletin Board, which will be the third place I go looking for OTC … Continue reading →

Posted in Business Information, Securities | Leave a comment