Tag Archives: Securities Act

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

Why Do We Need Regulation Crowdfunding?

ICYMI (In Case You Missed It): In a recent opinion of the Securities and Exchange Commission, the SEC reiterated that: “Section 5(a) of the Securities Act prohibits the sale of any security, in interstate commerce, “unless a registration statement is … Continue reading

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

Crowdfunding Factoid #11: Issuer Reliance

Under the Securities and Exchange Commission’s crowdfunding rules, the issuer can rely on the efforts of the web portal to ensure that the investors do not exceed their annual gross investment limits. The aggregate amount of securities sold to any … Continue reading

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