Tag Archives: issuers

Crowdfunding Factoid #6: Possible Number of Issuers

According to the Securities and Exchange Commission, to get a feel for the number of possible crowdfunding issuers, from 2009 to 2014, there were approximately 4,559 issuers per year in new Regulation D offerings with offer sizes of up to … Continue reading

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Crowdfunding Factoid #4: Restriction on Resale of Crowdfunded Security

If you buy stock in a crowdfunded offering you cannot sell it for 1 year unless you sell it to: the issuer of the securities, an accredited investor, as part of an offering registered with the SEC, a member of … Continue reading

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Crowdfunding Factoid #2

The final crowdfunding rules from the Securities and Exchange Commission are contained in a release that is 686 pages long.

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SEC OKs Use of Twitter

A registrant may make a public announcement about its offering, provided that it complies with the requirements of the contents of the announcement under Rule 134 under the Securities Act of 1933, as amended. However, Twitter and other social media … Continue reading

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How To Get A “Bad Actor” Waiver From the SEC

The Securities and Exchange Commission recently published a policy statement that describes its “bad actor” waiver process. As you recall, if there is a bad actor involved in your deal, you may not use certain exemptions from registration, including Rule … 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

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FINRA Proposed Regs Require Expertise

FINRA has issued new proposed rules for non-broker/dealer funding portals. Those entities must become FINRA members in order to list security selling crowd funding issuers. The good news is that ¬†applications will generally be processed within 60 days after FINRA … 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, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment