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Tag Archives: sale
Crowdfunders Need More Angels
Crowdfunders should note certain Angel investing facts (2012): 268,160 active angels; $341,800 average deal size; 21.8% Angels are women; top 3 investment categories: software, health and retail; it takes about 7.35 years to achieve a liquidation event in an IPO; … 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 accredited investor, acquisition, advertising, angel investing, Angel List, AngelList, angels, crowd fund, Crowd Fund Act, crowdfunding, diversification, due diligence, event, Financial Industry Regulatory Authority, FINRA, general solicitation, investment, IPO, JOBS Act, liquidity, non-accredited investor, online, Reg D, risk, Rule 506, sale, SEC, secondary market, Securities and Exchange Commission, stock, syndicates, venture capital
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You Believe Me, Don’t You?
The regulatory trade-off made by the SEC in permitting issuers to advertise a private placement was to have them take reasonable steps to verify that the purchasers are, in fact, “accredited investors.” In today’s Wall Street Journal, an op-ed writer … Continue reading
Posted in 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, Wall Street
Tagged accredited investor, advertisement, advertising, amendment, angel, angel investors, bank statement, capital, capital raise, crowd fund, Crowd Fund Act, crowdfunding, ensure, equity, film finance, Financial Industry Regulatory Authority, financing, FINRA, general solicitation, issuer, JOBS Act, offer, offeree, offering, private placement, purchaser, Rule 506, sale, SEC, Securities and Exchange Commission, self certification, stock, stockholder, tax returns, trusted third party, verification, verify, Wall Street Journal
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State Crowdfunding Exemptions – Useful or Useless?
Two states (Kansas and Georgia) now have “crowdfunding” regulatory exemptions and two states (Washington and North Carolina) are contemplating legislation. However, the ability to use the exemption, at least in GA, may be very restricted. GA’s statute (590-4-2-.08) exempts issuers … Continue reading
Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Funding Portals, Investments, Legislative Intent, SEC, States, Wall Street
Tagged crowd fund, Crowd Fund Act, crowdfunding, doing business, exemptions, Financial Industry Regulatory Authority, FINRA, in state, intra-state offering, Invest Georgia, Invest Kansas, JOBS Act, offer, offering, proceeds, resident, restrictions, Rule 147, sale, SEC, Section 3(a)11, Securities Act of 1933, Securities and Exchange Commission, state crowdfunding, states, states rights
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Can VCs and Crowdfunders Coexist?
At the SXSW festival, AOL founder and serial entreprenuer Steve Case says “yes.” There, he endorsed crowdfunding as a way for companies in regions of the US not well served by venture capitalists to find capital. This local validation will … Continue reading
Posted in 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 AOL, capital, coexist, crowd fund, Crowd Fund Act, crowdfunding, entrepreneur, film funding, finance, Financial Industry Regulatory Authority, financing, FINRA, funding, issuer, JOBS Act, raise, sale, SEC, second round, securities, Securities and Exchange Commission, small business, Steve Case, TimeWarner, venture capital
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The Law of Unintended Consequences
The Ohio Securities Division has warned of the potential “domino effect” in a crowd funded offering under the Crowd Fund Act. For example, if an issuer sells to an investor who has “over-invested,” every sale by the issuer is tainted … 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, States, Wall Street
Tagged 10b-5, broker dealer, crowd fund, Crowd Fund Act, crowdfunding, domino effect, due diligence, Financial Industry Regulatory Authority, FINRA, fraud, funding portal, illegal, investment, issuer, JOBS Act, liability, loss of exemption, Ohio Division of Securities, regulations, rules, sale, scrutiny, SEC, Securities and Exchange Commission, stock
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