Tag Archives: investor protection

Does Regulation Crowd Funding Need Fixing?

If you remember, getting Regulation Crowd Funding enacted was a long slog, primarily because the Securities and Exchange Commission wanted to build in many “investor protections” that mimicked the registration process. Griping persists that the Reg is not working because: … Continue reading

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Senate Democrats Push SEC For Private Placement Protections

For the last year, issuers have been allowed to use highway billboards, internet advertisements, cold calls to senior living centers, and promotional T-shirts to market their securities to investors, with no education for investors and limited disclosure of risks according … Continue reading

Posted in 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

Senate Neutered Crowd Fund Act

The idea of the Crowd Fund Act, Title III of the JOBS Act of 2012, was to permit small investments from unaccredited investors without requiring issuers to comply with the burdens of SEC “red tape.” Of the many bills floating … 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 | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Crowdfunding Rules Still Being Baked

Sometimes you can estimate the status of a situation by analyzing questions asked. In a meeting on April 15th with NACHA, the Electronics Payments Association, the staff of the SEC noted that  crowd funding industry participants often rely on electronic payment … Continue reading

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

White In; Crowdfunding to be Done, But Done Right

The U.S. Senate yesterday, by unanimous consent, confirmed Mary Jo White as the new Chairman of the U.S. Securities and Exchange Commission. She will be sworn in on Friday. The Washington Post reported that “Sen. Mark R. Warner (D-Va.) told … 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, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Rep. McHenry Gently Pushes Crowd Funding Regs

Rep. Patrick McHenry (R-NC) gives the SEC a soft push to publish crowd funding regulations by attempting to get a Twitter movement going on the anniversary of the signing of the JOBS Act. He states: “Today, months after the deadline … 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