Tag Archives: exemption

Unicorn Asks SEC To Let It Give Stock To Gig-gers

Unicorn AirBnB, valued last year at about $31 Billion, has asked the Securities and Exchange Commission if it could give its “hosts” stock in the company without going public. The company is responding to Concept Release Release No. 33-10521 in … Continue reading

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Telegram ICO Claims Securities Exemption

The Telegram messaging app company has filed a Form D with the SEC noticing the advertised private placement of its Initial Coin Offering raised $850 Million from only 81 investors. The offering is not expected to run for more than … Continue reading

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

SEC Amends Intrastate Offering Exemption & Increases Rule 504 Max

The Securities and Exchange Commission adopted new intrastate offering rules that permit companies “doing business” in a state (i.e,. where 80% of the company’s gross revenues or assets in located in the state, or where 80%  or more of the … Continue reading

Posted in accredited investor, 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, Uncategorized | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Equity Crowdfunding 4 Ways

Crowdfunding goes by various names, but there are now 4 types of equity “crowdfunding” that includes: accredited (Reg. D), non-accredited (Reg. CF – the “real” crowdfunding), intra-state (now available in 29 states) and Reg. A+ (actually a registered but small … Continue reading

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D.C. Intra-State Crowdfunding Finds Success

Two talented bakers, a lease and a dream.The remaining ingredient is startup capital. In D.C., the secret sauce may be the EquityEats’ funding portal where any resident or business can ante up fto $10,000 to buy a piece of Bluebird … 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

Bad Actor Exemption For Citibank

Under last year’s regulation, if your firm is hit with an SEC cease and desist order, you become a “bad actor” and cannot be involved in sales of private placements or hedge funds under Regulation D. If your firm paid … 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, Wall Street | Tagged , , , , , , , , , , , , , , , , , , | Leave a comment