Tag Archives: covered persons

Today’s Crowdfunding Webinar

Crowd-Funding” in Business Ventures: Raising Capital from the Public – 1 CLE hour https://m360.atlantabar.org/event.aspx?eventID=99402&instance=0 “Crowd-funding” is an innovation under securities law that allows companies to raise capital from small investors using certain online platforms. Companies are able to raise capital from … Continue reading

Posted in Broker dealers, Charity, 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, States, Tax, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Absolution From Bad Actor Disqualification

The staff of the SEC, using its delegated authority, has granted its first waiver of the “bad actor” disqualification under Rule 262 of Regulation A and Rules 505(b)(2)(iii)(C) and 506(d)(2)(ii) of Regulation D under the Securities Act of 1933 to a Wall … 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, Jobs, Legislative Intent, SEC, Small Business, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , | Leave a comment