Tag Archives: transfer agent

Does the Secondary Crowdfunding Market Need Analysts?

On May 16th, real crowdfunding can begin. Investors must hold their shares for 1 year and there will be no liquid secondary market to trade them. Academics are now suggesting that independent analysts provide coverage for crowdfunded companies to provide … Continue reading

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

FINRA To Meet To Consider Funding Portal Rules

The broker dealer regulator, FINRA,  will consider a proposal to solicit comment via Regulatory Notice on proposed rules and related forms governing funding portals pursuant to Title III (the Crowd Fund Act) of the JOBS Act. FINRA previously requested that … 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, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , | Leave a comment

Unintended Spawn of the CFA

As noted, the crowd funding portion of the JOBS Act appears to be creating a new brand industry that will support the capital raising concept of the Crowd Fund Act. Even before it has become legal, the CFA has spawned … Continue reading

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding Platforms, Jobs, Legislative Intent, SEC, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , | Leave a comment