Tag Archives: private placements

Finders Relief Recommended

While Securities and Exchange Commission Chairman Mary Jo ¬†White noted that crowdfunding rules are coming soon, more interesting was the recommendations from the Advisory Committee on Small and Emerging Companies that the SEC “exempt intermediaries that are actively involved in … Continue reading

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Early Stage Crowdfunders May Gain Over VCs Chasing Bubble

The Wall Street Journal reports today that venture capital firms raised $33 billion in 2014, a 62% increase over 2013 and the largest amount since 2007. With the stock market providing liquidity for 105 venture backed companies last year, more … Continue reading

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Too Big For “Bad Boy” Sanctions?

The SEC Commissioners are struggling over whether a big money center bank can be “too big to be a bad actor.” Bloomberg reports that the Democratic-appointed Commissioners are arguing that Bank of America should not get a “bad boy” waiver … Continue reading

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Private Equity Deals Cool in 3rd Quarter

Pitchbook reports on private equity deals in third quarter of 2014, including: the number of deals have decreased 26% over same period 2013; capital invested decreased 11% to $203.9 billion; the median deal size is up 19% from $35.8 to … 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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Biggest “Bad Actor” in Town

Back in Sept. 2013, when the SEC amended Reg. D permitting advertising of private placements, it also issued a companion rule that said that persons that commit certain actions, including being a recipient of an SEC administrative disciplinary order, would … Continue reading

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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