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Plain-English resources for startup founders and FINRA compliance teams: launch and entity basics, broker-dealer fundamentals, and what to organize before a compliance consultation.
Guides and tools
Startup Legal Launch Checklist
Formation, founders, IP, contracts, financing, and a section for student founders.
Business Entity Selection Guide
LLC, corporation, S-corp election, professional and nonprofit corporations, with a Missouri filing-fee reference.
Broker-Dealer vs. Investment Adviser
Activity-based definitions, when Reg BI or fiduciary duties apply, dual registration, fees, and how to verify a professional in Missouri.
FINRA Rule 4530 Reporting for Broker-Dealers
Reportable events, the 30-day clock, quarterly complaint reporting, and building a WSP that holds up.
SAFE & Convertible Note Review
YC post-money forms, MFN elections, pro rata side letters, KISS agreements, and free form downloads.
Elder Exploitation & the Aging Advisor
Rule 2165, trusted contacts, and the Senior Safe Act, plus the succession risk firms miss on the advisor's side.
AI Governance Checklist for Private Companies
Assign ownership, test high-risk uses, control vendor inputs, and keep marketing and investor claims inside the evidence.
Legal Review of Marketing Claims
A pre-launch checklist for testimonials, pricing claims, promotions, AI claims, and disclosures.
Consultant Confidentiality Checklist
What to protect, what a written agreement should say, and how to run a controlled handoff before access begins.
Arbitration Clauses in Business Contracts
Scope, forum, cost, confidentiality, and the practical questions to settle before you sign.
FINRA Expungement Requirements
The three grounds, which rule applies to your posture, straight-in deadlines, what cannot be expunged, and the Rule 2080 court step.
Binding Arbitration Explained
What binding arbitration means, how the process works, who decides arbitrability, and when an agreement is enforceable.
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