There are some specific exclusions from the SEC and Texas state rule for what constitutes an Investment Adviser.
Buying What You Are Selling
Unless there is an exemption, an Investment Company needs to file with the SEC and make certain disclosures to investors.
The Advice You Give
Generally, any time you are giving advice you need to register. Attorneys, accountants, psychologists, etc. There is no difference when you are giving advice on securities.
How Estate and Financial Planners Can Address Digital Assets
These professionals need to be on the forefront of addressing this technology and understanding its nuances and what makes it different from standard assets like fiat currency, stocks, and bonds.
Digital Assets in Transactions
It is important to keep in mind that digital assets have different features and nuances that may not mix well with traditional approaches.
The SEC’s Digital Asset Questions For RIA Firms
In helping RIA firms learn about crypto assets and develop appropriate policies and procedures, here are some best practices.
Six Practical Tips For Password Security
Like it or not, your email and various other usernames/logins are a significant part of your identity and should be treated as and protected like an asset. Here are some tips for protecting your digital self.
Blockchain Breakfast Summer Series, Part 4: Implementing Blockchain Solutions
My friend Michael Lewellen joined me for the fourth and final Blockchain Breakfast of our summer series to discuss implementing blockchain solutions.
Blockchain Breakfast Summer Series, Part 3: Lawyers, Regulators & The Private Sector
Last week, I sat down with one of my dear and first friends from law school, Cole Davis. Cole is a (recovering!) attorney focused on his new startup Switchchord, a blockchain-based music licensing and copyright management platform. Here are a few takeaways from our discussion.