Tag Archives: broker dealers

SEC Educates The Crowd About Crowdfunding

Real equity crowdfunding starts May 16, 2016! The Securities and Exchange Commission posted an Investor Bulletin explaining how much a non-accredited investor may invest in equity crowdfunding each year. It also notes: the risks involved, how one calculates her net … Continue reading

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Crowdfunding Factoid #5: Effective Date of Crowdfunding Rules

Crowdfunding Factoid #5: The Securities and Exchange Commission’s crowdfunding rules will become effective 180 days after their publication in the Federal Register, which is expected to be on or about May 16, 2016, except for Form: Funding Portal and the … Continue reading

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Crowdfunding Factoid #3: Crowdfunding Beneficiaries

The  Securities and Exchange Commission thinks that crowdfunding will be of some help to the more than 5 million small businesses in the U.S., defined by the U.S. Census Bureau as having fewer than 500 paid employees.

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Crowdfunding Factoid #2

The final crowdfunding rules from the Securities and Exchange Commission are contained in a release that is 686 pages long.

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SEC to Vote on Crowdfunding Rules Today!

SEC to vote on real crowdfunding rules today. Under the Crowdfund Act of 2012, non-accredited investors will be able to roll the dice on startups. Watch this space for news of the SEC’s action. http://www.wsj.com/articles/sec-set-to-approve-final-rules-on-crowdfunding-1445987303

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Real Crowdfunding Rules May Come This Friday!

The SEC will hold an open meeting this coming Friday, Oct. 30, to consider whether to approve crowdfunding rules under Title III of the JOBS Act of 2012. Better late than never. http://www.sec.gov/news/openmeetings/2015/ssamtg103015.htm

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Crowdfunding Portals Beware!

Because 88% of SEC tested broker-dealers and 74% of investment advisers have experienced cyber attacks, the head of the Securities and Exchange Commission’s Division of Enforcement is telling financial institutions that a cyber breach may also result in a violation … Continue reading

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