Tag Archives: Dodd Frank

SEC Reports On Regulation CF Crowdfunding Results So Far

The Securities and Exchange Commission’s Division of Economic and Risk Analysis issued its report on whether the post financial crisis legislation (Dodd Frank, Volcker Rule, etc.) has had a deleterious effect on the financial markets. It said NO. With respect … Continue reading

Posted in accredited investor, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Small Business, technology, VC, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , | Leave a comment

Look For A Different Focus At The SEC

The PEOTUS’ pick for the chairman of the Securities and Exchange Commission, Jay Clayton, has deep ties to protecting Wall Street as a partner at the white shoe law firm Sullivan & Cromwell. He has written that “zealous enforcement of … Continue reading

Posted in accredited investor, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Dodd Frank, Funding Portals, Investments, Jobs, Legislative Intent, review, SEC, Small Business | Tagged , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Crowdfunding To Free “Wall Street” Convict

If you’re a Bernie Sanders supporter, then you probably won’t be contributing to the crowdfunding campaign to raise legal fees for the appeal of Tom Hayes. Hayes was the London trader who is currently serving an 11-year sentence for conspiring … Continue reading

Posted in accredited investor, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, discrepancies, Dodd Frank, fine, fraud, Funding Portals, Investments, Jobs, Legislative Intent, penalty, SEC | Tagged , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

SEC To Update On Crowdfunding Rules

The Securities and Exchange Commission’s Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, will hold a public meeting on Thursday, January 21, 2016 @10AM where the SEC will … Continue reading

Posted in accredited investor, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Dodd Frank, drone, Film, fine, FINRA, fraud, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Small Business, Tax, VC, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Finders Relief Recommended

While Securities and Exchange Commission Chairman Mary Jo ¬†White noted that crowdfunding rules are coming soon, more interesting was the recommendations from the Advisory Committee on Small and Emerging Companies that the SEC “exempt intermediaries that are actively involved in … Continue reading

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CFTC Settlement Provide for “Bad Boy” Exemptions

It pays to have smart lawyers. Money center banks who have found themselves as the subject of disciplinary orders from the Commodities Futures Trading Commission have settled cases with the inclusion of exemption language that provides them an automatic exemption … Continue reading

Posted in Banking, Banks, CFTC, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding Platforms, Funding Portals, Investments, SEC, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , | Leave a comment

House Finance Committee Passes 11 JOBS Act Related Bills

The U. S. House of Representatives Financial Services Committee passed 11 bills late last week “to enhance capital formation for small and emerging growth companies and provide regulatory relief for community financial institutions.” The Committee’s website summarizes the bills as … 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, Venture Capital | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment