-
Recent Posts
Archives
- January 2020
- December 2019
- November 2019
- October 2019
- September 2019
- August 2019
- July 2019
- June 2019
- May 2019
- April 2019
- March 2019
- February 2019
- January 2019
- December 2018
- November 2018
- October 2018
- September 2018
- August 2018
- July 2018
- June 2018
- May 2018
- April 2018
- March 2018
- February 2018
- January 2018
- December 2017
- November 2017
- October 2017
- September 2017
- August 2017
- July 2017
- June 2017
- May 2017
- April 2017
- March 2017
- February 2017
- January 2017
- December 2016
- November 2016
- October 2016
- September 2016
- August 2016
- July 2016
- June 2016
- May 2016
- April 2016
- March 2016
- February 2016
- January 2016
- December 2015
- November 2015
- October 2015
- September 2015
- August 2015
- July 2015
- June 2015
- May 2015
- April 2015
- March 2015
- February 2015
- January 2015
- December 2014
- November 2014
- October 2014
- September 2014
- August 2014
- July 2014
- June 2014
- May 2014
- April 2014
- March 2014
- February 2014
- January 2014
- December 2013
- November 2013
- October 2013
- September 2013
- August 2013
- July 2013
- June 2013
- May 2013
- April 2013
- March 2013
- February 2013
- January 2013
- December 2012
- November 2012
- October 2012
- September 2012
- August 2012
- July 2012
- June 2012
- May 2012
Categories
- accredited investor
- balance
- Banking
- Banks
- Broadway
- Broker dealers
- CFPB
- CFTC
- Charity
- checkbook
- Citizens Bank
- Congress
- Consumer Financial Protection Bureau
- Crowd Fund Act
- Crowd Fund Act of 2012
- Crowd Funding At the Margins
- Crowd Funding Platforms
- Department of the Treasury
- deposits
- discrepancies
- Dodd Frank
- drone
- Film
- fine
- FINRA
- fraud
- Funding Portals
- insufficient funds fees
- Investments
- Jobs
- Legislative Intent
- monthly maintenance fees
- NSF
- overdraft fee
- penalty
- review
- SEC
- Small Business
- States
- Tax
- technology
- Uncategorized
- unfair and deceptive practice
- VC
- Venture Capital
- Wall Street
Meta
Tag Archives: sale
In-State Crowdfunders Get Guidance From SEC
A number of states have now enacted intra-state crowdfunding laws that comply with the federal exemption under the Securities Act of 1933. The SEC staff recently posted an interpretation that says that issuers can use their websites to limit the … Continue reading
Posted in Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Film, FINRA, Funding Portals, Investments, Legislative Intent, SEC, Small Business
Tagged capital raise, CF, crowd fund, Crowd Fund Act, crowdfunding, disclaimers, Division of Corporation Finance, equity, Financial Industry Regulatory Authority, FINRA, interpretation, intra-state offering, IP address, JOBS Act, offer, offering, residents, restrictive legends, Rule 147, sale, SEC, Securities Act of 1933, Securities and Exchange Commission, state law, states, website
Leave a comment
Crowdfund Up to $2 Million Soon In DC
The D.C. Department of Insurance, Securities and Banking today issued proposed rulemaking that seeks to facilitate crowdfunding-type investments and encourage capital raising opportunities by D.C. residents for D.C.-based small businesses. To qualify for the exemption, the business must be organized … 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
Tagged capital, crowd fund, Crowd Fund Act, crowdfunding, D.C., DC, District of Columbia, equity, Financial Industry Regulatory Authority, FINRA, intra-state exemption, JOBS Act, offerings, raise, sale, SEC, Sec. 3(a)(9), Securities Act of 1933, Securities and Banking, Securities and Exchange Commission, small businesses, stock, the D.C. Department of Insurance
Leave a comment
Crowdfunders Dream of VC Returns
Startups can be profitable if you can pick the right one. TechCrunch has found that “the average successful US startup has raised $41 million and exited at $242.9 million.” (Note the term “successful” as most are not). Other stats it … Continue reading
Posted in Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Funding Portals, Investments, Jobs, Legislative Intent, Small Business, Venture Capital
Tagged accredited investor, acquisition, angel, angel investing, Angel List, AngelList, crowd fund, Crowd Fund Act, crowdfunding, exit, Financial Industry Regulatory Authority, FINRA, investment, IPO, JOBS Act, Reg D, Regulation D, return on investment, sale, SEC, Securities and Exchange Commission, Silicon Valley, smart money, startups, TechCrunch, VC, venture capital
Leave a comment
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
Leave a comment
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
Leave a comment
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
Leave a comment
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
Leave a comment
