Tag Archives: regulation d

The Misplaced Logic of Dodd-Frank: Protecting the Ordinary Investor by Redefining the Accredited Investor

Many of you are still reeling from the impact of the worldwide collapse of the financial markets in 2008. And most of us have rightfully observed that following one of the greatest debacles in financial history, no one has gone … Continue reading

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SEC Extends Comment Period for JOBS Act Rule 506 Proposed Rulemaking – Is the SEC About to Pivot?

September 23, 2013 kicked off an historic period in federal securities laws.  For the first time in 80 years companies would be allowed to publicly solicit investors in unregistered private placements so long as all of the investors were accredited.  … Continue reading

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IT’S THE JOBS ACT, STUPID!

Still Time to Comment on SEC’s Proposed Regulation D General Solicitation Rules? On July 10, 2013, the SEC issued its final rules allowing general solicitation and advertising in unregistered private placements, provided all of the investors were accredited, effective September … Continue reading

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Preparing for (Regulation) D-Day – September 23, 2013

“The better part of valor is discretion, in the which better part I have sav’d my life.” Henry the Fourth, William Shakespeare, Part I, Act 5, scene 4. *          *          *          *          * As featured in CrowdfundInsider on September 17, … Continue reading

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Equity Crowdfunding and The Road Not Taken – What Congress Could Learn From Kansas

It’s pretty easy to make a case against equity crowdfunding: Startups are risky investments – most will fail, and investors will lose their money. Crowdfunding will be a magnet for fraud, drawing phony and exaggerated investment schemes. The goal of … Continue reading

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Equity Crowdfunding – The Road Ahead at the SEC and Beyond

Equity crowdfunding, hoped by many to be a promising new vehicle for capital formation for startups and other early stage companies, has yet to become operational under the JOBS Act – waiting on the SEC to promulgate proposed and final … Continue reading

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SEC Issues Final JOBS Act Regulations Allowing Public Solicitation of Investors in Private Placements Under Rule 506 of Regulation D; New Proposed Regulations Regulating Rule 506 Private Placements Also Issued for Public Comment on July 10, 2013

On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (JOBS Act), making sweeping changes to federal laws regulating capital formation.  One of the more significant changes to existing law was a directive to the … Continue reading

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Equity Crowdfunding – Google and the Venture Capitalists Are Taking Notice

While the wait continues for SEC regulations for equity crowdfunding under the JOBS Act, Google and the Venture Capitalists are getting their foot in the door with crowdfunding portals targeting accredited investors. Continue reading

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SEC Issues Proposed JOBS Act Regulations for Private Placements Under Rule 506 of Regulation D

On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (JOBS Act), making sweeping changes to federal laws regulating capital formation.  One of the more significant changes to existing law was a directive to the … Continue reading

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