Chicago-Based Community Investment Funds Making a Difference
What is an investment fund? An investment fund may sound like a foreign idea, but it is far more commonplace than most people realize. An...
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Shila Baylor
- Oct 13, 2021
- 3 min
Investment Clubs and the SEC
*co-authored by Elizabeth L. Carter, Esq., Managing Attorney Generally, investment companies or funds are defined as companies that are...
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Cymone Forde
- Jul 13, 2021
- 4 min
Securities Fraud and Misrepresentation: Failure to Properly Disclose Material Risks
*co-authored and edited by Elizabeth L. Carter, Esq., Managing Attorney Securities fraud is a serious act that can apply to any company,...
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Alana Reyes-Jones
- May 27, 2021
- 4 min
Is Your Fund Exempt under the Investment Company Act of 1940?
*co-authored by Elizabeth L. Carter, Esq., Managing Attorney What is an Investment Company? The Investment Company Act of 1940 (“ Act”)...
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Alana Reyes-Jones
- May 25, 2021
- 4 min
Does the Investment Advisors Act apply to my Investment Fund?
The Investment Advisers Act of 1940 (“Act”) is a U.S. federal law that was primarily intended to regulate the business of rendering...
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Chynnique Ross
- Apr 1, 2021
- 5 min
Introduction to Regulation D
Under federal securities laws, a business or investment company may not offer or sell securities (raise business capital) unless the...
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Cymone Forde
- Mar 23, 2021
- 5 min
Regulation A+ 101
*co-authored by Elizabeth L. Carter, Esq., Managing Attorney If you are thinking about making a publicly advertised offering for...
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Chynnique Ross
- Mar 16, 2021
- 3 min
Defining the Accredited Investor
The Securities and Exchange Commission (SEC) created the notion of “accredited investors” to ease the tension between their double duty...
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Cymone Forde
- Feb 21, 2021
- 6 min
Reg CF 101: What is the Regulation Crowdfunding Exemption?
As we continue to overcome the impacts of the pandemic, escalating inflation, and a potential recession in early 2023, entrepreneurs...
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Chynnique Ross
- Feb 11, 2021
- 4 min
Securities Law 101
Securities law is a specialty area within business law that concerns the offer and sell of deals with corporate stocks, company or...
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