Monthly Archives: November 2015

IPOs Being Abandoned In Favor of Buy-Outs

The Wall Street Journal reports that companies are abandoning initial public offerings of their stock in favor of getting acquired. The dollar volume of IPOs has dropped in 2015 by 63% vs. 2014 while mergers have increased 46%. At least … Continue reading

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Big Banks Really Did Abandon Small Business

So, we weren’t imaging it. The Wall Street Journal reports that the 10 largest banks providing loans of $1 Milllion or more (ie, small business loans) cut their lending by 38% from 2006 to 2014. This has opened the door … Continue reading

Posted in Banking, Banks, CFPB, Consumer Financial Protection Bureau, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Department of the Treasury, Dodd Frank, Film, Funding Portals, Jobs, SEC, Small Business, Uncategorized, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Which Crowdfunding Portal?

Happy Thanksgiving! Noting the difference in crowdfunding portal rules, Animators Don Bluth and Gary Goldman cancel their Kickstarter campaign to move it to Indiegogo for flexible funding. That way they can keep what they raise even if they don’t hit … Continue reading

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Silicon Valley Still Workin’ It

Pitchbook reports that as of (probably Oct. 31) 2015, “… 1,273 V[enture] C [apital] investors have invested in at least one Series A round, with the median deal size at $6 million. Software has garnered the bulk of deal flow, … Continue reading

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SEC Looking at “Accredited Investor” Qualifications

Securities and Exchange Commission Chairman Mary Jo White testified before the House Committee on Financial Services last week, stating that the SEC is now involved in a comprehensive review as to “whether to change the definition of accredited investor, including … Continue reading

Posted in Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Dodd Frank, FINRA, fraud, Investments, Legislative Intent, SEC, Small Business, Uncategorized, VC, Venture Capital | Tagged , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Facebook Crowdfunding Game Changer Coming?

TechCrunch reports that Facebook may be attempting to compete in the crowdfunding space with Kickstarter. Facebook, with over 1 billion users, has recently opened “Fundraiser that allows nonprofits to set up a campaign page, show off a video explaining their … Continue reading

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Unicorns Turning Into Uni-corpses?

Are the Unicorns (private companies valued at >$1 Billion) becoming Uni-corpses? With the Square IPO pricing below the indicated range and the Securities and Exchange Commission’s investigation into how publicly traded mutual funds value private companies like Uber and AirBnB, … Continue reading

Posted in Broker dealers, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Dodd Frank, Film, FINRA, fraud, Funding Portals, Investments, SEC, Small Business, Uncategorized | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | 1 Comment

Talk To The SEC

The Securities and Exchange Commission will host its annual Government-Business Forum on Small Business Capital Formation on Thursday, November 19, 2015, beginning at 9:00 a.m., in the auditorium of the Commission’s headquarters at 100 F Street, NE, Washington, DC. The … Continue reading

Posted in Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Dodd Frank, Film, FINRA, fraud, Funding Portals, Investments, SEC, Small Business, Uncategorized, VC, Venture Capital, Wall Street | Leave a comment

Crowdfunding Factoid #7: Will Crowdfunders Use Web Portals?

Crowdfunding must be conducted through either a registered crowdfunding portal or a registered broker dealer. As of December 2014, there were 4,267 broker-dealers registered with the Securities and Exchange Commission. But, only 21% of all new Regulation D offerings from … Continue reading

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Film, FINRA, fraud, Funding Portals, Investments, Legislative Intent, SEC, Small Business, Tax, Uncategorized, VC, Venture Capital, Wall Street | Tagged , , , , , , , , , , | Leave a comment

Crowdfunding Factoid #6: Possible Number of Issuers

According to the Securities and Exchange Commission, to get a feel for the number of possible crowdfunding issuers, from 2009 to 2014, there were approximately 4,559 issuers per year in new Regulation D offerings with offer sizes of up to … Continue reading

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