Tag Archives: limitations

Crowdfunders Grouse About Reg. CF

People are grousing that the Securities and Exchange Commission’s Regulation Crowd Funding isn’t helping small business like it should. Although 438 small companies have raised over $105 million since the regulation went effective in May 2016, the complaints about the … Continue reading

Posted in accredited investor, balance, checkbook, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Film, fraud, Investments, Jobs, review, SEC, Small Business, technology, VC, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , | Leave a comment

Final Crowd Fund Act Rules Coming – When?

The SEC’s regulatory agenda has now stated that final rules governing the offer and sale of securities through Crowdfunding under (new) Section 4(a)(6) of the Securities Act of 1933 will be published on “10/00/2014.” Meaning: Sometime before October 1? Sometime … 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

Watch The House Committee Hearing on Crowdfunding

The House Committee on Small Business Subcommittee on Investigations, Oversight and Regulation held a hearing titled “SEC’s Crowdfunding Proposal: Will It Work for Small Businesses?” this morning (see prior post). You can watch it here: http://www.ustream.tv/recorded/42779554

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

Coming Soon ?

The crowdfunding regulations are a “top priority” for the SEC and the staff is “busily working” on getting proposed regs to the Commissioners according to a recent WSJ report. In a hint on what is coming, a staff member indicated … Continue reading

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, FINRA, Funding Portals, Investments, Legislative Intent, SEC, Small Business, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment