-
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
Category Archives: Capital Raising
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 Regulatiion A Attorney, Regulation A, Regulation A Lawyer, Regulation A Plus, Sam Guzik, samuel guzik, sec, White Paper
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 HR 3784, samuel guzik, SEC attorney, SEC Small Business Advocate
Comments Off on HR 3784 – SEC Office of Small Business Advocate – Is Now the Law of the Land
Unstacking the Deck Against SME’s in Washington: A Call for an SEC Small Business Advocate
[As published inn Crowdfund Insider on November 16, 2016] With a new administration set to take the reins of power in the White House in January 2017, not to mention a new, Republican appointed Chair of the SEC in the … Continue reading
Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Comments Off on Unstacking the Deck Against SME’s in Washington: A Call for an SEC Small Business Advocate
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 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
ndzpq9kb0w
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
Protected: Yes – There Actually Is Something Obscene About SEC Regulation A+ (Sort Of)
There is no excerpt because this is a protected post.
Posted in Capital Raising, General, Regulation A+ Resource Center, Uncategorized
Comments Off on Protected: Yes – There Actually Is Something Obscene About SEC Regulation A+ (Sort Of)
Busted! SEC Targets Reg A+ Marijuana Company, Med-X, in Administrative Proceeding
The Regulation A+ industry was buzzing this week – not with excitement, but with a healthy dose of trepidation. One of the first, high (no pun intended) profile Regulation A+ offerings, launched in November 2015, after a seemingly successful “Testing … Continue reading
Posted in Capital Raising, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
Comments Off on Busted! SEC Targets Reg A+ Marijuana Company, Med-X, in Administrative Proceeding
IS THE SEC’S ACCREDITED INVESTOR DEFINITION UNCONSTITUTIONAL?
Many have railed against what can be argued is the irrationality of protecting non-accredited investors from themselves, i.e. the accredited investor definition. The definition was crafted by the SEC back in the early 1980’s as the centerpiece of what has … Continue reading
Posted in Capital Raising, Corporate Law, General, SEC Developments
1 Comment