Tag Archives: final rules

Crowdfunding Factoid #1

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

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When You’re Independent You Make Your Own Timing

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

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SEC Coy on Timing of Final Crowdfunding Rules

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 , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Final Crowd Fund Act Rules Coming – When?

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

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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 Crowdfunding Timing Revealed

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 , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Funding Portals Wait For Final Rules

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 , , , , , , , , , , , , , , | Leave a comment