Category Archives: Securities

New rules for Comfort Letters

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

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A securities law send-off for 2011

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

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Annual Reports entry updated and expanded

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

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Three additions to the Background Checks checklist

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

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Online sources for intraday stock prices

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.

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Free Annual Reports in PDF format

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.

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Venture Capital: drafting and negotiating Term Sheets

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

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