Category Archives: Corporate Law

SEC Office of Small Business Advocate – One of Top 10 Fintech News Events in 2016

I am proud to be a part of one of the Top 10 Fintech News Events of 2016 – HR 3784 – SEC Office of Small Business Advocate: Top Fintech Stories from Crowdfund Insider during 2016 December 30, 2016 @ … Continue reading

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments | Tagged , , , , , , | Comments Off on SEC Office of Small Business Advocate – One of Top 10 Fintech News Events in 2016

Why I am “High” on the Prospects for SME’s in 2017

The beginning of a new year is typically accompanied by renewed hope and positive expectations. 2017 is no exception.  As a staunch advocate of promoting the interests of small business generally, and smart regulation of capital formation, in particular, 2017 … Continue reading

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Tagged , , , , , , , , , , , , , | Comments Off on Why I am “High” on the Prospects for SME’s in 2017

SEC Issues Regulation A+ White Paper – What’s Working?

There has been a great deal of hyperbole and misinformation surrounding the use of the new SEC Regulation A+, which allows a private U.S. company to issue freely tradeable shares to the general public. A new White Paper recently  released … Continue reading

Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Tagged , , , , , , , | Comments Off on SEC Issues Regulation A+ White Paper – What’s Working?

HR 3784 – SEC Office of Small Business Advocate – Is Now the Law of the Land

On December 16, 2016, President Barack Obama Signed into Law HR 3784 – SEC Office of Small Business Advocate, creating an independent Office of Small Business Advocate at the SEC, reporting directly to the full Commission and Congress. This legislation … Continue reading

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments | Tagged , , , | Comments Off on HR 3784 – SEC Office of Small Business Advocate – Is Now the Law of the Land

Congress Passes H.R. 3784 SEC Office of Small Business Advocate Bill

[Author’s Note: HR 3784 was signed into law by President Barack Obama on December 16, 2016. For an update on this historic legislation, see my most recent article appearing on this Blog.] Most of us were probably sleeping last night … Continue reading

Posted in Corporate Law, Crowdfunding, General, SEC Developments | Tagged , , , | Comments Off on Congress Passes H.R. 3784 SEC Office of Small Business Advocate Bill

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 | Comments Off on On the SEC’s New Intrastate Crowdfunding Rules and the Nanny State

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 | Comments Off on SEC Adopts Final Expanded Intrastate Crowdfunding Rules

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 | 1 Comment

On Investment Crowdfunding, Diversification & the Wisdom of the Crowd

Still Time to Fix the Fix Crowdfunding Act One of the cardinal rules of investing is  diversification – a critical ingredient for long-term portfolio growth.  This rule applies with equal, if not greater, force when investing in “Title III Regulation … Continue reading

Posted in Capital Raising, Corporate Law, Crowdfunding, General | Comments Off on On Investment Crowdfunding, Diversification & the Wisdom of the Crowd

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 | Comments Off on NASAA and Members of Congress Come Together on the Need for the SEC to Expand Intrastate Crowdfunding Rules