Monthly Archives: July 2012

Should My Company Adopt a Stock Option Plan?

Posted on July 31, 2012 by

Stock Option plans are commonly used in start-ups and venture capital companies, as these entities have limited cash flow. Employees who go to work for these entities usually seek higher reward for th eir risk. Issuing stock options instead of, … Continue reading →

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FINRA Redefines Suitability

Posted on July 25, 2012 by

On July 9, 2012, FINRA’s new Rule 2111 became effective. The new Rule requires that a broker-dealer or associated person “have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable … Continue reading →

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The Amish and the SEC- A Lesson in Cooperation

Posted on July 19, 2012 by

“You can tell when you’re on the right track. It’s usually uphill”~ Amish Quote on Faith On July 18, 2012, the SEC announced that it entered into a Deferred Prosecution Agreement with the Amish Helping Fund (AHF).  The AHF is … Continue reading →

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The Morris Law Firm Blog

Posted on July 18, 2012 by

Small business owners, and those interested in forming a corporation, LLC,  partnership or other business entity, should check out and subscribe to The Morris Law Firm Blog. This Blog has information regarding Partnership Agreements, executing contracts, non-profit rules and other … Continue reading →

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SEC Updates Financial Reporting Manual

Posted on July 16, 2012 by

On July 11, 2012, the Securities and Exchange Commission Division of Corporation Finance updated its Financial Reporting Manual. The changes include the age of interim financial statements, use of proforma information in MD&A, age of financial statements required in Form … Continue reading →

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