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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
Category Archives: Crowdfunding
On the JOBS Act, Market Transparency and the Search for Truth: A Lesson in Financial Market History & Current Events
“Those that fail to learn from history are doomed to repeat it.” George Santayana, Winston Churchill. Many financial market observers, including myself, have greeted the JOBS … Continue reading
JOBS Act State of the Union: What’s Become of Regulation A+ and Crowdfunding?
To borrow a line from SEC Commissioner Daniel M. Gallagher, quoting from the fight song of his alma mater, Georgetown University: Oh How Long It’s Been! As we approach the three year anniversary of the signing into law of the JOBS … Continue reading
Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
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The JOBS Act, Crowdfinance & Building Social Consensus: Are Investors Unnecessarily at Risk?
Is the JOBS Act Title II ecosystem being built around the art of the “con” by some Internet funding platforms and companies raising money on these platforms? The answer seems to be yes, judging by investment advice provided by Morningstar, … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
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The CNBC Crowdfinance 50 Index: When an Investor “Commitment” is Just a Kiss
In July 2013 the SEC implemented Title II of the JOBS Act of 2012 through Rule 506(c) of Regulation D, which for the first time in over 80 years allowed companies to engage in general solicitation of investors in an … Continue reading
Posted in Capital Raising, Crowdfunding, General, SEC Developments
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Investment Crowdfunding in 2015: A Much Needed Thaw in the Regulatory Gridlock*
[Author’s Note: The below article was cited as authority by Jonathan Ortmans, Senior Fellow, in an article appearing on The Kauffmann Foundation Blog on January 5, 2015 http://bit.ly/1zPGC7u] For many focused on opening up new avenues of capital formation for … Continue reading
Posted in Capital Raising, Corporate Governance, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
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A Look at the Year Ahead in Washington DC for JOBS Act 2.0 and SEC Rulemaking: Regulation A+ is Around the Corner
Many of you who have been following the unfolding of the various provisions of the JOBS Act of 2012. And some of you have been asking: Where are those damn Regulation A+ and investment crowdfunding final rules the SEC has … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, Regulation A+ Resource Center, SEC Developments
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House Passes SEC Disclosure Modernization and Simplification Act of 2014
In what is likely to be a precursor of what can be expected when the 114th Congress convenes in January 2015, with a Republican-controlled House and Senate, the House on December 3 overwhelmingly approved H.R. 4569, entitled “Disclosure Modernization and … Continue reading
Posted in Capital Raising, Crowdfunding, General, SEC Developments
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Is the SEC Helping or Hurting Intrastate Crowdfunding?
I have written a great deal since May 2014 as to my concerns over recent SEC interpretations regarding the use of the Internet and social media in intrastate crowdfunded offerings relying on SEC Rule 147 – an exemption from federal … Continue reading
Posted in Business Formation, Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
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A Funny Thing Happened on the Way to the (2014 SEC Government Small Business) Forum
As one who has represented small and emerging growth companies over the past 36 years in navigating access to the capital markets, I have closely followed the legislative and regulatory developments in Washington, D.C. since the enactment of the Jumpstart … Continue reading
Posted in Business Formation, Capital Raising, Corporate Governance, Corporate Law, Crowdfunding, General, SEC Developments
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Small Business SEC Regulatory Reform in Washington, D.C. – “All in on Red” on Election Day 2014
The place was Washington, D.C. The occasion was the Annual Meeting of the Angel Capital Association at the Hilton Hotel in March 2014. Hundreds of attendees were gathered for lunch in the main Ballroom, the largest in the City. … Continue reading
Posted in Capital Raising, Corporate Law, Crowdfunding, General, SEC Developments
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