Tagged: judith shaw

July 6, 2016 @ 5:34 pm By JD Alois  |  

The State of Washington has adopted rules requiring companies raising capital under Reg CF to submit notice filings, along with a fee, if the company’s principle place of business is the state of Washington.  The rule also requires a notice filing if over 50% of… Read More

May 28, 2016 @ 12:56 pm By JD Alois  |  

The North American Securities Administrators Association (NASAA) has published a comment letter expressing their opinion on the definition of an Accredited Investor. As mandated by Dodd-Frank, the Securities and Exchange Commission (SEC) must review the current definition on a periodic basis. As it stands today,… Read More

May 26, 2016 @ 4:56 pm By JD Alois  |  

Last week on day one of Reg CF, the North American Securities Administrators Association (NASAA) posted a request for comments on a proposed rule.  NASAA desires the requirement of an additional filing for Reg CF issuing companies to be completed in those states where either… Read More

January 27, 2016 @ 2:17 pm By JD Alois  |  

The SEC Investor Advisory Committee met last week in Washington, DC. The periodic meeting was opened by Chair White who mentioned Title III retail crowdfunding specifically; “Regulation Crowdfunding becomes effective in May and funding portals can begin to register with the Commission later this month. … Read More