Category Archives: FINRA

Reg. A+ Public Deals Trade Lower Than Other Public Companies

The Wall Street Journal is reporting today that small companies that go public using Regulation A+ trade lower than other public companies. “Reg A+ are trading an average 42% below their offer prices” while the “S&P has risen 18% since … Continue reading

Posted in accredited investor, balance, checkbook, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Small Business | Tagged , , , , , , , , , , , , , | Leave a comment

Cannabis Crowdfunding

Remember those huge wildfires in Northern California last year? They burned through a number of state-legal (and illegal) cannabis farms. The farmers started a crowdfunding campaign on YouCaring that were promptly closed as the site decided that since cannabis is … Continue reading

Posted in accredited investor, balance, Banks, checkbook, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, Funding Portals, Investments, Jobs, Legislative Intent, review, SEC, Small Business | Tagged , , , , , , , , , , , , , , , , , , , , | Leave a comment

Crypto Currency Tax Matters

If you’ve hopped onto the cryptocurrency train, you should be aware that the IRS is all over this. So, if you’re paying employees in Bitcoin (or alts), you must report it on a W-2 and withhold just like dollars (except … Continue reading

Posted in accredited investor, Banking, Banks, CFTC, checkbook, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, Funding Portals, Investments, Jobs, Legislative Intent, SEC, technology, VC, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , | Leave a comment

South Korea Considers Crypto Regulation

Fox Business is reporting: “New proposed legislation in (South) Korea will ban the use of anonymous cryptocurrency accounts starting next month and prevent banks from providing settlement services for unidentified digital-currency trades on bitcoin exchanges.” This follows the shut down … Continue reading

Posted in accredited investor, balance, Banks, Broker dealers, checkbook, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, fraud, Funding Portals, Investments, Jobs, Legislative Intent, SEC, technology, VC, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , | Leave a comment

SEC Stops ICO In Its Tracks

The Securities and Exchange Commission halted a crowdfunded Initial Coin Offering in its tracks this week when it issued a cease and desist order against Munchee. “Munchee was seeking $15 million in capital to improve an existing iPhone app centered … Continue reading

Posted in accredited investor, checkbook, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, fraud, Funding Portals, Investments, Jobs, Legislative Intent, penalty, review, SEC, Small Business, technology, VC, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , | Leave a comment

SEC Warns Professionals About Bitcoins

As the futures price of Bitcoin surged past the spot price on the first official day of futures trading on the Cboe, the Chairman of the Securities and Exchange Commission ramped up his warning. In a public memo, Chairman Clayton … Continue reading

Posted in accredited investor, balance, Broker dealers, CFTC, checkbook, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, discrepancies, FINRA, fraud, Funding Portals, Investments, Jobs, Legislative Intent, penalty, review, SEC, Small Business, technology, unfair and deceptive practice, VC, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Are Reg. A+ Deals All Stinkers?

The “Worst IPOs of 2017” are all crowdfunded Regulation A+ offerings according to The Motley Fool. The “downsides” to the Reg. A+ deals according to the Fool are: investors self certify that they are investing according to the limits; the … Continue reading

Posted in accredited investor, checkbook, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, Funding Portals, Jobs, Legislative Intent, SEC, Small Business, technology, VC, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , | Leave a comment