Tag Archives: public offering

SEC Investigating Crypto-Currency

You were warned. The Securities and Exchange Commission has issued “dozens” of subpoenas to tech companies and their advisors in its investigation of the initial coin offering and alt coin trading markets. According to the Wall Street Journal, the main … Continue reading

Posted in accredited investor, balance, Banking, CFTC, checkbook, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, discrepancies, FINRA, fraud, Investments, Jobs, Legislative Intent, penalty, review, SEC, technology, VC, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , | Leave a comment

SEC Educates The Crowd About Crowdfunding

Real equity crowdfunding starts May 16, 2016! The Securities and Exchange Commission posted an Investor Bulletin explaining how much a non-accredited investor may invest in equity crowdfunding each year. It also notes: the risks involved, how one calculates her net … Continue reading

Posted in accredited investor, Broker dealers, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Film, FINRA, fraud, Funding Portals, Jobs, Legislative Intent, SEC, Small Business, VC, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Equity Crowdfunding 4 Ways

Crowdfunding goes by various names, but there are now 4 types of equity “crowdfunding” that includes: accredited (Reg. D), non-accredited (Reg. CF – the “real” crowdfunding), intra-state (now available in 29 states) and Reg. A+ (actually a registered but small … Continue reading

Posted in accredited investor, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Film, FINRA, Funding Portals, Jobs, Legislative Intent, SEC, Small Business, VC, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Bringing “Bad Boy” Waivers Into the Light

Rep. Maxine Waters (D-CA) is talking about introducing a bill that would crack down on SEC’s “bad boy” waivers that have been handed out to the money center banks recently. The proposed legislation is apparently going to make waiver requests, … Continue reading

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SEC Extends Advisory Committee on Small & Emerging Companies

The SEC announced the renewal of its Advisory Committee on Small and Emerging Companies, which will continue to focus on interests and priorities of small businesses and smaller public companies. Since it was established, the advisory committee has provided recommendations … 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, Small Business, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Facebook Offers a Powerful Crowdfunding Platform

Loyal3 Holdings, a San Francisco social media firm that is also a broker dealer, is using Facebook as a platform to sell stock in the initial public offering of Luxembourg based Globant SA. Investors who have Loyal3 accounts will be … 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, Small Business, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment