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If the adviser sponsors a wrap fee program, the adviser must deliver a written disclosure statement (wrap fee brochure) of how these wrap fees work, pointing out that the client may pay more this way than if the services were purchased separately.
Robert Walker • Pass The 65: A PLAIN ENGLISH EXPLANATION TO HELP YOU PASS THE SERIES 65 EXAM - UPDATED FOR 2017
Other People's Money: Inside the Housing Crisis and the Demise of the Greatest Real Estate Deal Ever Made
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FIGURE 12 (11) Information Rights: Investor Favorable: So long as an Investor continues to hold shares of Series [A] Preferred or Common Stock issued upon conversion of the Series [A] Preferred, the Company shall deliver to the Investor audited annual financial statements, audited by a Big Five accounting firm, and unaudited quarterly financial
... See moreAlex Wilmerding • Term Sheets & Valuations: A Line by Line Look at the Intricacies of Term Sheets & Valutions (Bigwig Briefs)
Disclosures of past litigation or other legal issues: any past instances of regulatory issues, lawsuits, human resource problems, or anything that could affect the value of the company or the ability of you or your employees to work there needs to be disclosed.
Judy Robinett • Crack the Funding Code: How Investors Think and What They Need to Hear to Fund Your Startup
You should know that once memorialized in the initial organizing documents the financial structure of a syndication is fixed – individual LPs participate in the investment knowing exactly how their funds will be used and how any returns will be distributed. The Private Placement Memorandum (PPM) is the disclosure document that outlines the
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