Tag Archives: brokers

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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Would You Know A Ponzi Scheme?

The SEC has continually warned investors about Ponzi schemes. A Ponzi scheme is defined as ” an investment fraud that involves the payment of purported returns to existing investors from funds contributed by new investors. Ponzi scheme organizers often solicit … Continue reading

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Finders Relief Recommended

While Securities and Exchange Commission Chairman Mary Jo ¬†White noted that crowdfunding rules are coming soon, more interesting was the recommendations from the Advisory Committee on Small and Emerging Companies that the SEC “exempt intermediaries that are actively involved in … Continue reading

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What’s Investment Advice?

As the clock ticks down to Dec. 31, it is becoming more clear that the SEC’s crowd funding rules are going to have to be a work in progress, regardless of how detailed they turn out to be. Crowd funding … Continue reading

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, Funding Portals, Investments, Legislative Intent, SEC, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , | Leave a comment

Crowdfunding Strategies

The Wall Street Journal explores time tested strategies for selling stock over the new crowd funding portals in yesterday’s edition. http://lnkd.in/EhsCXi

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The Adults in the Room

The Crowd Fund Act seeks to have the funding portals manage and supervise the capital raising effort. Recent commenters have suggested that funding portals: (i) have FINRA as the only SRO (as well as for brokers); (ii) perform due diligence … Continue reading

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Where Are the Brokers?

A recent survey by BDO USA indicates that investment bankers think that the JOBS Act will increase the risk of a financial scandal but will also create more IPOs. In a related story, it was reported that SEC is asking … Continue reading

Posted in Broker dealers, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, Funding Portals, SEC, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , | Leave a comment