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Brokers, Dealers, Private Lenders, and Venture Capital
A broker is defined as anyone who makes securities transactions for others. (The exception to this is a bank.) A dealer is defined as someone who buys and sells securities for their own account, through a broker or otherwise. Most entrepreneurs are looking for start-up capital and for someone else to raise capital for them on a straight commission, with no up-front fees. Only registered broker dealers, and Bona Fide employees, can legally solicit/sell securities for a company on straight commission, with no up-front fees. They always charge an up-front retainer, sometimes called due-diligence fees, before commencing. This fluctuates depending on the complexity of the transactions. Most brokers/dealers avoid startup and early stage companies. A Bona Fide employee cannot be paid commission from the sale of securities.

Other electronic filings Related Articles

"What the world really needs is more love and less paperwork."
True words, Pearl Bailey, but when it comes to trademarks, paperwork is the fuel that keeps the trademark machine running. I'll devote a few posts to the different types of filings the USPTO requires. That being said, let's start at the beginning.

Uniform Commercial Code - UCC
The Uniform Commercial Code, or UCC, is an excellent tool for business owners to protect themselves with small business laws as both creditors and as debtors. Using UCC filings to your advantage can stretch your credit with both lenders and vendors. Likewise, as a creditor, if you keep active UCC filings on your biggest customers, you can protect your business against a client's nonpayment. For example, if you have a nonpaying customer and bring a lawsuit against them, you may wait months for a judgment; and you might not be adequately compensated even if the lawsuit rules in your favor. As a small business owner, you could have a UCC filing from the beginning and prove the debt.
Sell Information Products And Handling Payment Transactions
When you sell information products in both physical and electronic formats, how do you handle payment? While you can certainly use an electronic payment company that can deal with both transactions, I recommend other methods for those of you who are new to the process.
Business Planning: Your 17-Point New Year's Business Inventory and Cleanup
A new year brings the urge to purge things from your business and begin anew. This act leaves you free to focus on what remains. However, what remains for many online business owners is electronic clutter, which is where they get stuck. To help you track these electronic pieces of your business, here are 17 points to include in your online business inventory:
Electronic Signature
An electronic signature is equivalent to hand-written signature, with data in electronic form being attached to other electronic subject data as a means of authentication. A signature can be referred to as a unique stylized script associated with a particular person.

How to Produce a Great Electronic Newsletter
As marketing tools go, it's hard to beat a great electronic newsletter, but it may be even harder to figure out what makes a newsletter great. I've subscribed to electronic newsletters since the first day I got an email account back in 1994, and even though the technology has changed dramatically, what made a great electronic newsletter then still makes a great electronic newsletter today.

Medical Practices Beware! Time is Running Out To Avoid Electronic Medical Records Stimulus Penalties!
In less than three months, providers who haven't generated at least ten e-prescriptions will get hit with electronic prescribing MIPPA penalties - and believe it or not, many physicians practices have no idea this deadline is looming. Here's what doctors need to know to avoid electronic prescribing MIPPA penalties and earn e-prescribing incentives instead!
Annual Government Filings & Minutes - Corporate Maintenance and Compliance
Many new business owners are unaware of the important obligations that must be upheld AFTER they have formed a new business entity. All too often there are accounts of entrepreneurs starting a business, incorporating that business, then failing to comply with various government imposed formalities and filings. There are many ongoing government requirements that small business owners need to comply with, namely: annual government reports/returns and fees, notice of a name change, notices of change of registered office, directors and in certain jurisdictions, their shareholders. These forms are different than tax related forms such as tax returns, GST/PST filings and payroll deductions.
Modular EHR’s: Small Investment; Big Gains
Full-featured electronic health records are an intelligent choice for active physician offices with overwhelming amounts of data. In contrast, some practices in low population areas had no intention of going ‘electronic’ until the arrival of Meaningful Use. The majority of practices though tend to fall between the two extremes, and that’s where modular EHR’s are a perfect fit.
Are you a “Paper Person?” Consider an Electronic To Do List
For those of you who still use paper for a to do list, like pads of paper, a planner, post-it notes, or maybe you use your memory entirely, consider making a change to an electronic to do list. It doesn't have to be in Outlook. It can be in Palm or Entourage or Lotus Notes. Outlook, in my opinion, happens to be the best and most powerful, but a good task management system is workable in other software systems too. Here are the 3 best reasons to start using an electronic to do list:
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