Tag Archives: guidance

Valuation A Concern In Crowdfunding

Ms. Sam Smith, CEO of finnCap, a United Kingdom stockbroker, likes crowdfunding but is concerned that companies are being over valued, putting early investors at risk of losing value to later, more sophisticated ones or getting little or no profit … Continue reading

Posted in accredited investor, Broker dealers, Crowd Fund Act, Crowd Fund Act of 2012, discrepancies, fraud, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Small Business, technology, unfair and deceptive practice, VC, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Is Crowdfunding A Gut Investment Or Is A Ratings Firm Needed?

The equity crowdfunding field is getting crowded with companies that have product ideas, prototypes or even actual businesses. Everyday, non-accredited investors can now wager on the future of these businesses, but the disclosure about them remains rather nominal. So, in … 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, fraud, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Small Business, technology, unfair and deceptive practice, VC, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Switching to Advertising the Offering – SEC Guidance

The SEC recently gave guidance on a couple of transition matters: If you started a private placement without general solicitation before September 23, 2013, then switch to advertising the offering after that date do you have to take ‚Äúreasonable steps … Continue reading

Posted in 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 | Tagged , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

SEC Offers Bad Actor Clarity

In an attempt to clarify new Rule 506(d) that would disqualify an issuer’s exemption under Rule 506 if “covered persons” have engaged in “disqualifying acts,” the SEC issued a new set of interpretations, that include: determining a bad actor at … 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

New SEC Crowdfunding Guidance

The SEC has released a number of Q&A’s regarding the use of new Rule 506(c). This guidance includes such matters as: whether an issuer who has taken reasonable steps to verify its investor is “accredited” and later finds out that … 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, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment