Tag Archives: final rules

Crowdfunding Factoid #1

Posted on November 6, 2015 by JeffKoeppel

Now that the Securities and Exchange Commission has adopted final rules for real crowdfunding for non-accredited investors, this blog will be issuing “Crowdfunding Factoids” from time to time. This is Crowdfunding Factoid #1: Due to its complexity, it took the … Continue reading →

Posted in Uncategorized | Tagged accredited investor, advertising, Angel List, angels, bad actor, broker dealer, business, campaign, capital, Crowd Fund Act, crowdfund, crowdfunding, donor, entrepreneur, final rules, FINRA, SEC, Securities and Exchange Commission, Silicon Valley, startups, VC, venture capital | Leave a comment

When You’re Independent You Make Your Own Timing

Posted on March 24, 2015 by JeffKoeppel

When you’re an independent agency, you’re INDEPENDENT. Mary Jo White, Chairman of the Securities and Exchange Commission, testified today before the House of Representatives Committee on Financial Services stating that although the SEC was to have crowdfunding regulations finished by … Continue reading →

Posted in Uncategorized | Tagged accredited investors, broker dealer, Chairman, comment letters, commission, crowd fund, Crowd Fund Act, crowdfunding, deliberative, final rules, FINRA, funding portal, House of Representatives Committee on Financial Services, independent agency, JOBS Act, Mary Jo White, oversight, private placement, recommendations, Regulation D, Rule 506, rules, Rules 506(c), SEC, Securities and Exchange Commission, testimony, timing, web portal | Leave a comment

SEC Coy on Timing of Final Crowdfunding Rules

Posted on July 25, 2014 by JeffKoeppel

Yesterday, the head of the Securities and Exchange Commission’s Division of Corporation Finance gave testimony to the House Committee on Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises with respect to the SEC’s progress on finalizing the rules … 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 advertising, capital, comment letters, crowd fund, Crowd Fund Act, crowdfunding, Division of Corporation Finance, final rules, Financial Industry Regulatory Authority, FINRA, funding portals, JOBS Act, Keith Higgins, kickstarter, Mary Jo White, proposed rules, recommendations, Reg D, SEC, Securities and Exchange Commission, timing, United States House of Representatives Committee on Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises | Leave a comment

Final Crowd Fund Act Rules Coming – When?

Posted on June 17, 2014 by JeffKoeppel

The SEC’s regulatory agenda has now stated that final rules governing the offer and sale of securities through Crowdfunding under (new) Section 4(a)(6) of the Securities Act of 1933 will be published on “10/00/2014.” Meaning: Sometime before October 1? Sometime … 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 advertising, calendar, capital, crowd fund, Crowd Fund Act, crowdfunding, disclosure, education, equity, final rules, Financial Industry Regulatory Authority, FINRA, funding portal, general solicitation, JOBS Act, limitations, offerings, private placements, Reg D, regulations, regulatory agenda, risk, rules, schedule, SEC, Securities and Exchange Commission | Leave a comment

Today’s Crowdfunding Webinar

Posted on March 18, 2014 by JeffKoeppel

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 accredited investors, advertising, background check, bad actor, broker, broker dealer, buyabeer.com, charity, covered persons, crowd fund, Crowd Fund Act, crowdfunding, dealer, disclosure, disqualifying events, donations, due diligence, DVD, educational materials, equity, final rules, Financial Industry Regulatory Authority, FINRA, fraud, funding portals, general solicitation, intermediaries, JOBS Act, loans, money laundering, movies, non-accredited investors, offering, peer to peer, platforms, portal, prevention, privacy, private placement, proposed rules, questionnaire, Reg D, Regulation CF, Regulation D, rewards, Rule 501, Rule 506, SEC, Securities and Exchange Commission, security, self certification, SRO, stats, webinar | Leave a comment

SEC Crowdfunding Timing Revealed

Posted on January 8, 2014 by JeffKoeppel

The SEC published its proposed rulemaking agenda for 2014. The comment period on the crowdfunding regulations under new section 4(6) of the Securities Act of 1933, as amended by the JOBS Act, ends on February 3, 2014. The proposed final … 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 506, accredited investors, advertising, agenda, bad actor, capital raise, crowd fund, Crowd Fund Act, crowdfunding, filing, final rules, Financial Industry Regulatory Authority, FINRA, Form D, general solicitation, hedge fund, JOBS Act, reasonable steps to verify, Reg D, Regulation D, regulations, Rule 506, rules, SEC, Securities and Exchange Commission, VC, venture capital, verification | Leave a comment

Funding Portals Wait For Final Rules

Posted on October 29, 2013 by JeffKoeppel

It’s come to my attention that only approximately 40 funding portals have voluntarily filed the interim funding portal (registration) form (IFPF) with FINRA. This form is confidential. The IFPF was meant to obtain information for the FINRA staff to assist … 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, Venture Capital, Wall Street | Tagged crowd fund, Crowd Fund Act, crowdfunding, final rules, Financial Industry Regulatory Authority, FINRA, forms, funding portals, JOBS Act, member, pre-filing, register, rules, SEC, Securities and Exchange Commission | Leave a comment

FINRA Issues New Preliminary Funding Portal Form

Posted on January 10, 2013 by JeffKoeppel

The press release from FINRA states in part:” The Financial Industry Regulatory Authority (FINRA) today issued a voluntary Interim Form for Funding Portals designed for prospective crowdfunding portals under the JOBS Act. Those intending to become a funding portal may voluntarily submit … Continue reading →

Posted in Broker dealers, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Film, FINRA, Funding Portals, Jobs, SEC, Wall Street | Tagged application, approval, crowd fund, Crowd Fund Act, crowdfunding, final application, final rules, Financial Industry Regulatory Authority, FINRA, form, funding portals, JOBS Act, membership, registration, rules, SEC, Securities and Exchange Commission, voluntary submission | Leave a comment