Tagged: guardd

With “Looming” Regulatory Enforcement, Compliant NFT Securitization Comes “Front and Center” with GUARDD, Dalmore and PPEX

Doug Ellenoff HSFC September 2019 b

The US Securities and Exchange Commission (SEC) is watching. It likely will not be long before the first enforcement action against a Non-Fungible Token (NFT) issuer is announced. The 80+ enforcement actions the regulators have taken to date on cryptocurrency, digital assets, and Initial Coin… Read More

Association of International Certified Professional Accountants and CPA.com Accept Five Startups in Accelerator

Ledger Accounting Accounts Accountant Book keeping

The Association of International Certified Professional Accountants and CPA.com have selected five early-stage ventures to participate in an accelerator. The program was launched in 2017 in recognition of the ongoing digital transformation taking place in financial services. Erik Asgeirsson, president and CEO of CPA.com, says the… Read More

GUARDD, a Fintech Supporting Private Securities Trading on ATSs, Partners with Two Marketplaces

Sherwood Neiss of CCA

Trading private securities in the US entails certain compliance requirements that can make it difficult and a young Fintech is on a mission to make it easier. GUARDD, a startup looking to facilitate private security liquidity, has announced two new partnerships with Alternative Trading Systems… Read More

Doug Ellenoff Comments on Updates to the Exempt Offering Ecosystem. Momentum in SPACs Expected to Continue

Doug Ellenoff at Cambridge University CCAF

  Doug Ellenoff, the Managing Partner of Manhattan law firm Ellenoff, Grossman and Schole (EGS), has been involved with the Fintech sector since the early days of the JOBS Act – the legislation that eventually legalized investment crowdfunding. He is not only deeply engaged with… Read More

Investment Crowdfunding Advocates Join to Launch New Fintech Startup GUARDD in Move to Boost Secondary Markets for Exempt Securities

Sherwood Neis and Doug Ellenoff

The exempt securities marketplace can be arcane and challenging to manage for entrepreneurs seeking to raise capital. The advent of online capital formation has helped to democratize access to capital as well as streamline securities offerings but hurdles do remain. A new startup co-founded by… Read More

Doug Ellenoff Comments on SEC Concept Release on Regulatory Harmonization: “The SEC has considerable rule making authority to make the changes it believes necessary”

SEC Concept Release Harmonization of Securities Offerings June 2019

The Securities and Exchange Commission (SEC) announced a significant review of the securities exemption ecosystem in June of this year. During the past few decades, the Commission, with some help from Congress, has updated and added to the many rules that regulate private securities offerings…. Read More

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