Tag Archives: dealer

Do You Trust Your Broker?

When your broker suggests that you put your money into one of her picks, is it good for you? Brokers’ duties include fair dealing, suitable recommendations, accurate disclosure, trade only by client instruction and avoiding excessive trading.  See: http://www.finrafoundation.org/web/groups/foundation/@foundation/documents/foundation/p119054.pdf However, there … Continue reading

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Are Some Bad Actors More Equal Than Others?

Are some bad actors more worthy than others? Criminal and civil sanctions can bar banks from certain activities, including participating in the private capital markets. Securities and Exchange Commissioner Kara Stein thought so last year when the SEC gave a waiver … Continue reading

Posted in Banking, Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

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

SEC Statistics Offer Insight to Crowdfunders

The SEC’s Division of Economic and Risk Analysis provided some interesting statistics in a recent proposed rule regarding Regulation D. These stats can help crowdfunders manage their, and their investors’ expectations in forthcoming capital raises. The SEC’s research found that: … 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, Investments, Jobs, Legislative Intent, SEC, Small Business, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Is Crowd Funding Worth It?

Prof. John Coffey recently published a paper that compares the Crowdfunding Regulation to a Reg D offering. Here are some of the comparisons (including some of mine): The issuer can advertise under Rule 506(c), but not under Regulation 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, Film, FINRA, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Small Business, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Crowdfund Me a New Car

Do you deserve a new car bought for you by your friends and family? If so, you can register for a new Dodge Dart* and let the crowd put you in a fancy new ride. Cost? Only 9% of the … Continue reading

Posted in Charity, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, Funding Portals, Legislative Intent, Small Business, Wall Street | Tagged , , , , , , , , , , , , , , , | Leave a comment