Tag Archives: Securities Act of 1933

SEC Warns Professionals About Bitcoins

As the futures price of Bitcoin surged past the spot price on the first official day of futures trading on the Cboe, the Chairman of the Securities and Exchange Commission ramped up his warning. In a public memo, Chairman Clayton … Continue reading

Posted in accredited investor, balance, Broker dealers, CFTC, checkbook, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, discrepancies, FINRA, fraud, Funding Portals, Investments, Jobs, Legislative Intent, penalty, review, SEC, Small Business, technology, unfair and deceptive practice, 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

Regulation Crowdfunding Meant to Prevent It?

The Wall Street Journal’s Christopher Mims opines that some believe that the Securities and Exchange Commission’s crowdfunding regulations are meant to prevent crowdfunding. Rules that limit the total annual investment by an individual, that require companies to register under Section … Continue reading

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

SEC OKs Use of Twitter

A registrant may make a public announcement about its offering, provided that it complies with the requirements of the contents of the announcement under Rule 134 under the Securities Act of 1933, as amended. However, Twitter and other social media … Continue reading

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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 , , , , , , , , , , , , , , , , , , , , , , , , , | 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 , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Is It Wine or A Security?

Crowdfunding can be delicious. In France, a vintner is trying to save France‚Äôs viticultural history by crowdfunding to revive 10 traditional varieties in the region that have fallen into obscurity. Frantz Venes, whose wine Domus Maximus was named the best … 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, SEC, Small Business, Venture Capital | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment