The California Securities Attorneys

2232 Sixth Street
Berkeley, CA 94710, United States

Contact: Bruce Methven, attorney

  • 510-649-4019
  • 510-649-4024

Going Public With a Direct Placement Offering

Going public with a direct placement offering…more
| Securities Law

SEC Approves Advertised Rule 506 Offerings

Final regulations allowing advertised Rule 506 offerings…more
| Mergers & Acquisitions, Real Estate - Commercial, Real Estate - Residential, Securities Law, Wills, Trusts, & Estate Planning

Waterfall Distributions for Investors – Bruce E. Methven

Waterfall Distributions for Investors…more
| Administrative Law, Business Organizations, Real Estate - Commercial, Real Estate - Residential, Securities Law

Waterfall Distributions for Investors – Bruce E. Methven

Managers who are organizing an investment funds…more
| Administrative Law, Business Organizations, Real Estate - Commercial, Real Estate - Residential, Securities Law

Who Can Sell an Offering? -- Bruce E. Methven

Who Can Sell an Offering? --Bruce E. Methven…more
| Securities Law

Pre-Existing Substantive Relationship Requirement With Investors

If an offeror is making an offering that does not allow public advertising, such as a traditional Rule 506 offering, then according to the SEC a pre-existing substantive relationship is required before a potential investor can…more
| Securities Law

Using the Reg. S Exemption for Foreign Investors

Using Reg. S is useful when the issuer does not want to be limited by the restrictions of Rule 506. With a Rule 506 offering all investors must be either accredited or sophisticated, and there is a limit of 35 non-accredited…more
| Business Organizations, Real Estate - Commercial, Real Estate - Residential, Securities Law, Wills, Trusts, & Estate Planning

New Requirements Re California Investors

Companies that are planning an offering with California investors should be aware of a new California bill that takes effect on January 1, 2013, Senate Bill 978…more
| Securities Law

Using Finders to Locate Investors – Bruce E. Methven

A number of years ago the SEC effectively banned the use of finders to locate investors for securities offerings that cross state lines. Still, a few states allow finders for their intrastate offerings (offerings made entirely…more
| Business Organizations, Real Estate - Commercial, Real Estate - Residential, Securities Law, Wills, Trusts, & Estate Planning

Offerings That Allow Public Tombstone Ads

Information about offerings that allow public tombstone ads…more
| Mergers & Acquisitions, Securities Law

Using Rule 506 for Raising Money

Helpful advice for using Rule 506 for raising money…more
| Business Organizations, Mergers & Acquisitions, Real Estate - Commercial, Real Estate - Residential, Securities Law

Public Advertising of California Qualification by Permit Offerings

Although it takes more time and effort than other types of offerings, a California qualification by permit (25113) offering has major advantages in terms of allowing public advertising and having low investor requirements…more
| Mergers & Acquisitions, Real Estate - Commercial, Real Estate - Residential, Securities Law, Wills, Trusts, & Estate Planning

Status of New Fund Manager Regulations

For those of you who are or may be making offerings in California, this is an update on the latest regarding the new California regulations regarding investment advisers. This is important because the California Department of…more
| Securities Law

Choices for Structuring Preferred Stock Offerings

As mentioned last time, there are many ways to structure securities to be sold in an offering. How they are structured requires balancing what is attractive to investors with what the company can live with…more
| Mergers & Acquisitions, Securities Law

Options for Structuring Promissory Note Securities – Bruce E. Methven.

There are many ways to structure securities to be sold in an offering. How they are structured requires balancing what is attractive to investors with what the company can live with…more
| Securities Law
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Areas of Practice
  • Securities Law
Locations
Other Countries
  • U.S. Virgin Islands
Number of Attorneys

2-10 Attorneys

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