Tag Archives: test

Crowdfunding – Portals Could Be Liable for Issuer Fraud

The SEC’s proposed crowdfunding rules would require a funding portal, like Kickstarter or Indiegogo (were they to host equity offerings) to deny access to its platform if the intermediary believes that the issuer or the offering presents the potential for … 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 , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | 2 Comments

SEC Statistics Offer Insight to Crowdfunders

The SEC’s Division of Economic and Risk Analysis provided some interesting statistics in a recent proposed rule regarding Regulation D. These stats can help crowdfunders manage their, and their investors’ expectations in forthcoming capital raises. The SEC’s research found that: … Continue reading

Posted in Broker dealers, 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 , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Does Knowledge Make You “Accredited”?

Now that the crowdfunding regs have been released, certain Congressmen are seeking to expand the definition of “accredited investor.” The Wall Street Journal reports that Reps. Patrick McHenry (R-NC) and Scott Garrett (R-NJ) want to include “highly trained financial professionals” … 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 , , , , , , , , , , , , , , , , , , , , | Leave a comment