Tag Archives: violations

The Cop Is On the Beat

The SEC’s Enforcement Division released its stats for its 2014 fiscal year, noting its use of “data and analytical tools.” Highlighting their “successful” year, the Division “filed a record 755 enforcement actions covering a wide range of misconduct, and obtained … Continue reading

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SEC Denies Whistleblower Awards

You can make up to 30% on all monetary sanctions over $1 million imposed by the SEC as a whistleblower. Last week the SEC handed out $875,000 to 2 informants. http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370541980219#.U5YWa_ldWVM However, your information had better be correct. The SEC … Continue reading

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Crowdfunders Trip Up on Copyrights

Large media companies have tolerated fan fiction for years as a way to (semi-) promote their properties and not offend rabid fans. But, some companies now believe that fan creativity with their intellectual property has gone too far. Daily Dot … Continue reading

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Congressional Pushback on Ad Rule Proposals

The Chairman of the House Subcommittee on Oversight and Investigations, Rep. Patrick McHenry (R-NC) and Scott Garrett, Chairman of the House Subcommittee on Capital Markets and Government Sponsored Entities (R-NJ) recently sent a letter to Mary Jo White, the Chairman … 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, States, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

SEC Report With Crowd Funding Recommendations

The final report from the SEC’s (November) 2012 Government-Business Forum on Small Business Capital Formation is now available. In that report, the crowd funding breakout group made 9 recommendations to the SEC crowd funding rule writing staff, including: 1. Required disclosure … 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, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , | Leave a comment