Tag Archives: knowledge

SEC Looking at “Accredited Investor” Qualifications

Securities and Exchange Commission Chairman Mary Jo White testified before the House Committee on Financial Services last week, stating that the SEC is now involved in a comprehensive review as to “whether to change the definition of accredited investor, including … Continue reading

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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

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Crowdfund or Perish!

Incorporate or perish! Universities are now pushing professors to commercialize their research as the number of university inspired startups have risen 16% in 2013 from an increase of 5% in 2012 over 2011, according to the Wall Street Journal. Called … Continue reading

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Is SEC Slacking Off on Punishments?

Is the former prosecutor chairing the SEC too easy on financial book cookers? That’s the claim of Commissioner Luis Aguilar, who, said that he’s concerned that corporate execs are getting off too easily. For example, in the case of Affiliated … 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, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment