Tag Archives: commissioners

SEC Appointees Held In Senate

The Securities and Exchange Commission is operating now with only 3 commissioners. Two Obama nominees are being held up in the Senate as the political season heats up, with Banking Committee Chairman Richard Shelby, R-Ala., telling Politico in January he … Continue reading

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

Some “Bad Actors” Are More Equal Than Others

Are some “bad actors” more equal than others? The SEC has given admitted criminals waivers from the bad actor disqualification to participate in the private placement market. These criminals include some of the large international money center banks. Other smaller … Continue reading

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Bringing “Bad Boy” Waivers Into the Light

Rep. Maxine Waters (D-CA) is talking about introducing a bill that would crack down on SEC’s “bad boy” waivers that have been handed out to the money center banks recently. The proposed legislation is apparently going to make waiver requests, … Continue reading

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Crowd Funding Still Not a Reality in the U.S.

Tomorrow is the first anniversary of the JOBS Act, the law that created the Crowd Fund Act of 2012. Although unofficial reports place the operative regulations in the “in-box” of the commissioners of the Securities and Exchange Commission, it is … 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, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Small Business, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment