Tagged: accredited investor

December 30, 2024 @ 1:28 pm By Nick Morgan  |  

Accredited Investor: Using the Series 65 to Become Accredited. In late 2020, over lunch with a friend, Nathan Leung discovered an unexpected path to becoming an accredited investor – one that didn’t require the traditional $200,000 annual income or $1 million net worth. Thanks to… Read More

June 24, 2024 @ 3:38 pm By Nick Morgan  |  

In a recent episode of Capital Ideas, hosts Nick Morgan and Dara Albright interviewed Jonathan Dunsmoor, a recovering securities attorney and the Chief Development Officer of The Blue Rock Organization, a company leveraging blockchain innovation to democratize economic opportunities. Dunsmoor highlighted, for example, how blockchain… Read More

June 9, 2024 @ 6:29 pm By JD Alois  |  

Last month, the SEC Small Business Capital Formation Advisory Committee (SBCFAC) told the Commission to make the definition of an Accredited Investor more inclusive. This is not the first time the Committee has advised the Commission to update the definition and make it more rational… Read More

May 6, 2024 @ 10:44 am By JD Alois  |  

The Securities and Exchange Commission (SEC) and Small Business Capital Formation Advisory Committee (SBCFAC) have finally issued their recommendation regarding the definition of Accredited Investors. This definition impacts the Reg D marketplace, an ecosystem that enabled around $3 trillion in funding in 2023. Just about… Read More

March 5, 2024 @ 12:10 pm By JD Alois  |  

The Expanding Access to Capital Act (HR 2799) will go to a floor vote this week. If approved, the legislation will then make its way to the Senate for potential approval. The bill is sponsored by Congressman Patrick McHenry, Chairman of the House Financial Services… Read More

March 4, 2024 @ 3:37 pm By JD Alois  |  

Last week the SEC’s Small Business Capital Formation Access Committee met and one of the topics reviewed was the definition of an Accredited Investor. Once again, the Committee determined that the current definition is too restrictive, voting on expanding the definition to make it more… Read More

February 29, 2024 @ 3:09 pm By JD Alois  |  

Senator Tim Scott, the ranking member on the Senate Banking Committee, wants to make the capital markets more inclusive. In a recent op-ed, Senator Scott said his new Empowering Main Street in America Act framework would “enhance financial education programs to increase market understanding and participation,… Read More

February 28, 2024 @ 11:48 am By JD Alois  |  

Yesterday (February 27, 2024), the Securities and Exchange Commission (SEC), Small Business Capital Formation Advisory Committee (SBCFAC), met to discuss several issues of importance that impact early-stage firms. Perhaps the most pressing issue is the definition of an Accredited Investor – a rule the Commission… Read More

February 22, 2024 @ 11:17 am By JD Alois  |  

While the Securities and Exchange Commission (SEC) may be trying to make it more difficult to be deemed an Accredited Investor, thus disenfranchising more individual investors, recently legislation was introduced into the US Senate that would broaden the definition. S 3709, or the “Investment Opportunity… Read More

February 19, 2024 @ 7:05 pm By JD Alois  |  

The Securities and Exchange Commission’s (SEC) Small Business Capital Formation Advisory Committee (SBCFAC)will reconvene once again to discuss the definition of an Accredited Investor. At the same meeting, the Committee will review the status of the IPO market in the US along with several other… Read More

January 10, 2024 @ 10:13 am By JD Alois  |  

Yesterday, the Securities and Exchange Commission (SEC) posted a video on X discussing the recent Staff review of the definition of an Accredited Investor. The video states that the review of fhe definition is mandated to take place every four years, according to Dodd-Frank. The… Read More

December 15, 2023 @ 11:49 am By JD Alois  |  

Today, the staff of the Securities and Exchange Commission (SEC) has issued a report that reviews the definition of an Accredited Investor. In brief, an Accredited Investor is someone who earns over $200,000 a year or has a net worth of over $1 million –… Read More

October 9, 2023 @ 5:24 pm By JD Alois  |  

  One of the top items on the Securities and Exchange Commission (SEC) agenda under the leadership of Chair Gary Gensler is changes to Regulation D (Reg D) along with updates to the definition of an Accredited Investor. Currently, these amendments are number seven on… Read More

September 22, 2023 @ 10:24 am By JD Alois  |  

During the Securities and Exchange Commission’s meeting of the Investor Advisory Committee (IAC) yesterday (September 21, 2023), a representative from the Angel Capital Association (ACA) gave a compelling presentation advocating on behalf of his industry and why we need more Accredited Investors and NOT fewer…. Read More

September 21, 2023 @ 12:42 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) is considering raising the wealth threshold for the definition of an Accredited Investor. Currently, in brief, an Accredited Investor is an individual who earns over $200,000 a year or has a net worth of over $1 million. The net… Read More

September 15, 2023 @ 10:30 am By JD Alois  |  

The Securities and Exchange Commission (SEC), Investor Advisory Committee will meet next week and will discuss two very important policy items that impact capital raising for private firms. The first panel discussion will review exempt securities offerings under Reg D. This exemption, only available to… Read More

June 13, 2023 @ 7:56 pm By JD Alois  |  

DealMaker has emerged as a top online capital formation platform providing services to enable the primary issuance of securities across the full stack of crowdfunding exemptions. This includes Reg CF, Reg A+, and Reg D. At the same time, due to its base of operations… Read More

April 26, 2023 @ 11:34 am By JD Alois  |  

As CI reported yesterday, the House Financial Services Committee has scheduled a markup session for pending legislation. Many of the proposed bills are designed to improve access to capital as well as improve JOBS Act rules. In a statement in advance of the meeting, Congressman… Read More

March 9, 2023 @ 10:50 am By JD Alois  |  

In a diplomatically worded missive, the Securities and Exchange Commission, Small Business Capital Formation Advisory Committee, has posted a “Parting Perspective Letter” regarding its efforts in recent years while outlining its recommendations – that the Commission has ignored. The letter, signed by Committee Chair Carla… Read More

February 6, 2023 @ 10:33 am By JD Alois  |  

The House Subcommittee on Capital Markets, part of the House Financial Services Committee, has hit the ground running in the new Congress. As was reported earlier, the Subcommittee has scheduled a hearing on access to capital and entrepreneurship. On the same day, the Subcommittee will… Read More