Tag Archives: sec

Regulation A+ Offerings—A New Era at the SEC

[ORIGINALLY PUBLISHED IN THE HARVARD LAW SCHOOL FORUM ON CORPORATE GOVERNANCE AND FINANCIAL REGULATION ON JANUARY 15 2014] December 18, 2013 may well mark an historic turning point in the ability of small business to effectively access capital in the private … Continue reading

Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments, Uncategorized | Tagged , , , , , , , , , , , , , , , , , , | Comments Off on Regulation A+ Offerings—A New Era at the SEC

THE SIX DEADLY SINS OF THE SEC’S PROPOSED CROWDFUNDING REGULATIONS – AND HOW TO MAKE THE SEC REPENT BEFORE IT IS TOO LATE

In a previous article I identified a number of serious problems with the SEC’s proposed crowdfunding regulations. I also promised readers to share my opinions on what can and should be done by crowdfunding supporters to fix the problems – … Continue reading

Posted in Business Formation, Capital Raising, Corporate Governance, Crowdfunding, General, SEC Developments, Uncategorized | Tagged , , , , , , , , , , , , , , , , , , , , , , , | Comments Off on THE SIX DEADLY SINS OF THE SEC’S PROPOSED CROWDFUNDING REGULATIONS – AND HOW TO MAKE THE SEC REPENT BEFORE IT IS TOO LATE

On the Proposed SEC Regulations & Crowdfunding – A Postscript: Is SEC Commissioner Gallagher a Friend of the Crowd?

Behind the unanimous vote that accompanied the SEC’s issuance of proposed crowdfunding regulations on October 23, 2013, I sensed that there was more afoot behind the congenial surface.  It seemed unlikely to this Commission observer that the sharp divisions amongst … Continue reading

Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments | Tagged , , , , , , , , , , , , , , , , , , , , , | Comments Off on On the Proposed SEC Regulations & Crowdfunding – A Postscript: Is SEC Commissioner Gallagher a Friend of the Crowd?

ON THE PROPOSED SEC REGULATIONS AND CROWDFUNDING: LET’S GET IT RIGHT, CHAIRMAN WHITE

There was an air of euphoria in the crowdfunding community on October 23 when the U.S. Securities and Exchange Commission finally issued its proposed crowdfunding rules – a necessary step to implement equity crowdfunding, as dictated by Congress in the … Continue reading

Posted in Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments | Tagged , , , , , , , , , , , , , , , , , , | Comments Off on ON THE PROPOSED SEC REGULATIONS AND CROWDFUNDING: LET’S GET IT RIGHT, CHAIRMAN WHITE

Regulation (C)rowdfunding Day – The Morning After

 [Following is a reprint of an article written by me for my Legal Column,  The Crowdfunding Counselor™, on CrowdfundInsider, published on October 24, 2013] First in a Series of Articles Focusing on the Road Ahead to Final Rules and Beyond … Continue reading

Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, Uncategorized | Tagged , , , , , , , , , , , , , , , , , , , | Comments Off on Regulation (C)rowdfunding Day – The Morning After

The SEC Finally Convenes on Crowdfunding Rules – Open Meeting or Crowd Control?

 [Following is a reprint of an article written by me for my Legal Column, The Crowdfunding Counselor™, on CrowdfundInsider, published on October 22, 2013] It had been more than 18 months since President Obama signed into law the multi-faceted potpourri … Continue reading

Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments | Tagged , , , , , , , , , , , , , , , , , | Comments Off on The SEC Finally Convenes on Crowdfunding Rules – Open Meeting or Crowd Control?

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

Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments | Tagged , , , , , , , , , , , , , , , | Comments Off on IT’S THE JOBS ACT, STUPID!

SEC Regulation D and Rule 506 – Speak Now or Forever Hold Your Peace

On July 10, 2013, the SEC issued proposed rules to amend Regulation D.  The rules, if adopted, would place significant conditions on the use of new Rule 506(c) promulgated under the JOBS Act. Rule 506(c), as will be in effect … Continue reading

Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments | Tagged , , , , , , , , , , , , , , , , , , , | Comments Off on SEC Regulation D and Rule 506 – Speak Now or Forever Hold Your Peace

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

Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments | Tagged , , , , , , , , , , , , , , , , , , , | Comments Off on Equity Crowdfunding and The Road Not Taken – What Congress Could Learn From Kansas

Final and Proposed SEC Rules Allowing General Solicitation are Out – Crowdfunding Rules for Non-Accredited Investors to Follow-And So Too Should Caution

On July 10, 2013, the SEC released final SEC rules, effective in September 2013, which will allow general solicitation and advertising in unregistered debt and equity offerings so long as all of the purchasers are accredited investors and the issuer … Continue reading

Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments | Tagged , , , , , , , , , , , , , , , , , , , , | Comments Off on Final and Proposed SEC Rules Allowing General Solicitation are Out – Crowdfunding Rules for Non-Accredited Investors to Follow-And So Too Should Caution