Tag Archives: creditors

When It’s Over…

Let’s face it, a majority of startups fail. So, as a director, to whom do you owe your duties when the company becomes insolvent (the definition of which can be subject to interpretation)? According to a recent article in the … Continue reading

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Funding Portals Exempt from New Identity Theft Regs

The SEC adopted final rules yesterday requiring certain regulated entities to establish programs to address risks of identity theft. While the rules apply to broker dealers, it appears that they would not apply to funding portals under the Crowd Fund … 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