Tag Archives: private placements

Full SEC Waives Reg. D Prohibition

“Bad Actors” are not permitted to utilize the private placement rules under Reg. D. If you happened to settle a potential civil action with the SEC in a plea agreement in which you paid a $196 million fine plus disgorgement, … Continue reading

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SEC Asks For Money to Enforce Crowd Fund Act

In its 2015 budget request to Congress, SEC has asked for money to enforce the Crowd Fund Act: “The SEC is implementing the Jumpstart Our Business Startups (JOBS) Act, which includes a new rule that allows for broader solicitation of certain types … Continue reading

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Single State Secondary Markets – Too Small?

Michigan has become the fourth state to permit intra-state crowdfunding of up to $2 million and is considering an intra-state stock exchange to create liquidity for those investors. However, a mini-market for a small number of shares will likely not … Continue reading

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Commenters Complain About Crowdfunding Costs

As the comment period for the Crowdfunding rules has closed, it appears that the biggest concern of the commenters is the cost to initiate a crowdfunding campaign. In particular, the requirement of audited financial statements, that could, per the SEC, … Continue reading

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Crowd Capital Services Vets Investors

From the press release: Crowd Capital Services Helps Companies Qualify Their Investors Assists Companies and Investors in Complying With New SEC Regulations WASHINGTON, Jan. 23, 2014 /PRNewswire-iReach/ — Investor Review, Inc. announced today the launching of its website www.crowdcapitalservices.com that helps capital raising companies … Continue reading

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Nasdaq Wants In On Crowdfunding Market

In order to get a handle on the new private equity trading markets now being made popular by crowdfunding under Regulation D, the Nasdaq has announced that it will be accelerating the opening of its new trading platform called the … 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, Legislative Intent, SEC, Small Business, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Proof of Equity Crowdfunding Concept

While Kickstarter had another incredible year, with 3 million people  pledging $480 million, that site is a different model than one that does equity crowdfunding. Kickstarter is essentially a pre-sale model for folks who want some sort of product, be … 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, Legislative Intent, SEC, Small Business, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment