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Latest SEC News- Tai Mo Shan to Pay $123 Million for Negligently Misleading Investors About Stability of Terra USD December 20, 2024
- SEC Adopts Rule Amendments to the Broker-Dealer Customer Protection Rule December 20, 2024
- SEC Files Settled Charges Against Multiple Entities for Failing to Timely File Forms D in Connection With Securities Offerings December 20, 2024
- SEC Charges Silver Point Capital with Policy Failures Regarding Receipt of Material Nonpublic Information About Bonds Issued by Puerto Rico December 20, 2024
- Deutsche Bank Subsidiary to Pay $4 Million for Untimely Filing Certain Suspicious Activity Reports December 20, 2024
Monthly Archives: October 2016
On the SEC’s New Intrastate Crowdfunding Rules and the Nanny State
On October 26, 2016, the SEC’s three Commissioners convened at their headquarters to adopt new rules intended to modernize what had historically been a little used path of raising capital for startups, early stage businesses and community-based enterprises: the so … Continue reading
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
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SEC Adopts Final Expanded Intrastate Crowdfunding Rules
Today the SEC unanimously adopted amendments to Rule 147 and Rule 504, and adopted a new Rule 147A, intended to modernize and facilitate local offerings by companies in their home state. The final rules are much improved from the proposed … Continue reading
Posted in Corporate Law, Crowdfunding, General, SEC Developments
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SEC REGULATORY ALERT: COMMISSION POISED TO ADOPT EXPANDED INTRASTATE CROWDFUNDING RULES
The Securities and Exchange Commission has announced that it will be meeting on October 26, 2016 to consider and adopt amendments to Rule 147, the safe harbor for the issuance of securities pursuant to the so called intrastate exemption. Rule … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General
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On Investment Crowdfunding, Diversification & the Wisdom of the Crowd
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Posted in Capital Raising, Corporate Law, Crowdfunding, General
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NASAA and Members of Congress Come Together on the Need for the SEC to Expand Intrastate Crowdfunding Rules
It is rare that I am able to find agreement with the publicly stated positions of the North American Securities Administrators Association (NASAA). Equally rare – members of Congress who are traditionally strong advocates for “smart” regulatory reform of capital … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
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Protected: Yes – There Actually Is Something Obscene About SEC Regulation A+ (Sort Of)
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Posted in Capital Raising, General, Regulation A+ Resource Center, Uncategorized
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An Upcoming Event for Private Companies to Explore Regulation A+ Financing Options
Though I regularly speak at national alternative finance events it has not been my custom or practice to independently publicize these events. So today being Columbus Day, an historic event marking the voyage of Christopher Columbus toward new horizons, I … Continue reading
Posted in Uncategorized
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