Tag Archives: investment banks

“Bad Actor” Waivers Getting Harder to Get

After giving an investment adviser that failed to get clients’ consents for 21,000 trades a “bad boy” waiver, the Securities and Exchange Commission is now considering punishing JP Morgan. The Wall Street Journal reports that the Commission is thinking about … Continue reading

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Invest In Us, Not Them

Bare knuckles capital raising comes to Silicon Valley as Uber starts telling its investors where they can put their money. Confidentiality provisions are standard, but requiring offerees not to invest in competitors is pretty rare. Uber has asked its investors … Continue reading

Posted in Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Venture Capital | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment