Tag Archives: crowdcapitalservices.com

Bad Actor Interps

The SEC is trickling out some interpretations on the Rule 506(d) “bad actor” disqualification. A couple of recent ones included: ¬†All persons who have been or will be paid, directly or indirectly,remuneration for the solicitation of investors, including marketing personnel … 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, Legislative Intent, SEC, Wall Street | Tagged , , , , , , , , , , , , , , , , , , | Leave a comment

Switching to Advertising the Offering – SEC Guidance

The SEC recently gave guidance on a couple of transition matters: If you started a private placement without general solicitation before September 23, 2013, then switch to advertising the offering after that date do you have to take ‚Äúreasonable steps … Continue reading

Posted in 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 | Tagged , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment