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Tag Archives: institutional investor
SEC Staff Continues To Issue “Bad Boy” Waivers
The secret to obtaining a “bad boy” waiver from the Securities and Exchange Commission is to show: the bad act did not involve an intent to defraud; the misconduct did not involve the sale of securities; the actor has taken … Continue reading
Posted in Uncategorized
Tagged bad actor, bad boy, broker dealer, Crowd Fund Act, crowdfund, crowdfunding, disqualification, Financial Industry Regulatory Authority, finder, fine, FINRA, funds, high net worth, institutional investor, intent to defraud, JOBS Act, knowledge, placement agent, private placement, promoter, real estate, Reg D, Regulation D, Rule 506, SEC, Securities and Exchange Commission, solicitor, suspension, tax lien, waiver
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Crowdfunding Hedge Fund Investing
While some big institutional investors are bailing out of hedge funds, one new crowdfunding platform has raised $2 million to let accredited investors take part in them. In September, the California Public Employees’ Retirement System divested its entire $4 billion … Continue reading
Posted in Broker dealers, 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, Venture Capital, Wall Street
Tagged accredited investors, Angel List, angels, bitcoin, CALPERS, Citigroup, crowd fund, Crowd Fund Act, crowdfunding, Cypress Point Capital Management, Data Collective, FINRA, hedge fund, institutional investor, JOBS Act, Khosla Ventures, Lending Club, Motif Investing, mutual fund, SEC, Securities and Exchange Commission, Silicon Valley, Sliced Investing, TriplePoint Venture Growth, VC, venture capital, Y-Combinator
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Crowd Funding News 