Tag Archives: reviews

SEC Intends to Exam Funding Portals

It appears that all divisions of the SEC are preparing for the eventual beginning of crowd funding. In its Examination Priorities for 2013, the Division of Compliance, Inspections and Examinations noted that it reviews more than 4600 registered broker-dealers with … 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, Legislative Intent, SEC, Wall Street | Tagged , , , , , , , , , , , , , , , , | Leave a comment

Indiana Appears to be Offering Crowd Funding Reviews

Indiana’s Securities Division published their FAQs about crowd funding, following the North American Securities Administrators Association’s skeptical position, offering to look into any crowdfunded offerings brought to its attention. http://www.in.gov/sos/securities/files/Crowdfunding_IN.pdf

Posted in Crowd Fund Act, Crowd Fund Act of 2012, Small Business, States | Tagged , , , , , , , | Leave a comment