Tagged: investor protection

SEC in Thailand Is Reportedly Backing off its Initial Plan to Set 1M Baht Minimum Annual Income Requirement for Crypto Investors

The Securities and Exchange Commission (SEC) in Thailand is reportedly backing off its initial draft plan that would have required a 1-million-baht (appr. $32,800) minimum annual income and various other requirements for local crypto investors. The Thai SEC clarified that the draft bill was meant… Read More

European Online Lending Platform October Warns Financial Crimes are on the Rise following COVID Outbreak including Money Mules

European online lender October recently alerted consumers about the money muling fraud. The company explained what usually takes place when bad actors carry out these fraudulent activities and shares tips to avoid getting scammed. October notes that if you’re being offered “opportunities” to make easy… Read More

SEC Acting Chair Allison Herren Lee Says Federal Regulator Will be Carefully Investigating the Reddit “Takeover” of Wall Street

NPR’s Ailsa Chang recently covered the US Securities and Exchange Commission’s (SEC) expected role in conducting an investigation into the Reddit / social media takeover of Wall Street. SEC Acting Chair Allison Herren Lee commented on the agency’s role in looking into the matter. The… Read More

Preparing to Hire a Financial Advisor? Check them Out First Here.

The Securities and Exchange Commission is celebrating 81 years of guiding financial markets this month. While there have been more than a few ups and downs since the ’34 Act that created the SEC (on June 6th), their mission remains true in guarding investors and… Read More

Investor Protection: Why You May Want to Reconsider Your Real Estate Crowdfunding Investment

Do you remember that scene from the movie Tommy Boy where the store manager rants about the importance of having a guarantee on the product box “calling out, I’ll never let you down, but if I do I’m gonna make things ALL better.” I can’t… Read More

AARP Magazine Runs Crowdfunding Feature, Cites Cautionary Letter

AARP The Magazine recently ran an article on crowdfunding dealing with the possibilities (and perils) of the evolving means of capital formation. Kickstarter, RocketHub and EarlyShares all get mention in the piece alongside Sherwood Neiss of Crowdfund Capital Advisors. Rockethub’s Alon Hillel-Tuch and EarlyShares’s Heather Schwarz-Lopes… Read More

Canadian Law Firm BLG Cites Crowdfunding As Top Risk For 2014

Canadian law firm Borden Ladner Gervais LLP (BLG) released a risk assessment for 2014. Crowdfunding makes the list at #2 on their list of the top ten business issues with legal implications for the new year. Entrepreneurs, access to capital and the crowd: The Canadian economy… Read More

Has The SEC Made Equity Crowdfunding Economically Unfeasible?

When the proposed SEC equity crowdfunding rules were released on October 23, those of us who had been anxiously waiting for months were finally given what we had been begging for. The long-awaited SEC rules had finally arrived. Equity crowdfunding under the JOBS Act was about to become… Read More

Crowdfunding News Roundup: November 6, 2013

Huffington Post | Who Let the Dog Out: On New Crowdfunding Rules and Why It Is Time for Us to Wise Up In this piece for the Huffington Post, Victoria Silchenko aggregates the thoughts of people like Tim Draper (pictured, right) and Slava Rubin on… Read More

Small Businesses Need A Seat At The SEC’s Table

With the recent confirmation of Mary Jo White as Chairman of the SEC and Kara Stein, and Michael Piwowar as SEC Commissioners, the leadership of the SEC is undergoing significant changes that will affect public policy for years to come. It has been argued that… Read More

California Stock Exchange Selects EarlyIQ For Due Diligence Services

The California Stock Xchange (Cal-X) and Cal-X Crowdfund Connect has selected San Diego-based EarlyIQ to provide enterprise management reports for use in vetting companies listed on the exchange. RELATED – From Main Street To Wall Street And Back: Cal-X Determined To Help Startups Succeed In partnership… Read More

Mary Jo White Pushing To Lift Ban On General Solicitation

Bloomberg is reporting that newly minted SEC Chairman Mary Jo White is pushing to lift the ban on general solicitation. From the article… White, who became SEC chairman on April 10, has suggested the commission pass the existing plan without major changes and add additional protections later,… Read More

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