Better questions build better companiesUS founders · Pre-seed to Series A
Regulatory news and changes

Quarterly legal monitoring checklist

  • [ ] SEC broker-dealer and small-business capital-raising notices; any compensated introductions or transaction services.
  • [ ] Relevant state noncompete, employment and founder fiduciary developments.
  • [ ] FTC reviews/testimonials and automatic-renewal rules; whether developments are final, enjoined or proposed.
  • [ ] FinCEN BOI rule status, especially for foreign-registered entities.
  • [ ] ICF ethics and sponsor/confidentiality obligations; check actual adviser affiliation.
  • [ ] NIST AI risk updates and each supplier's current data terms.

Publication control: put a precise “last checked” date beside each regulatory claim, keep the original regulator link, and require legal review before describing a rule as binding in a named state.

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