Tagged: regulation a

Reg A+ Issuer FAT Brands Charged with Fraud by SEC, Criminal Charges filed By US Attorny’s Office

FAT (Fresh. Authentic. Tasty.) Brands Inc. (NASDQ:FAT) has been hit with allegations of fraud. This past Friday, the Securities and Exchange Commission (SEC) filed fraud charges against FAT, its former CEO and current Chairman, Andrew Wiederhorn, and its former CFOs, Ron Roe and Rebecca Hershinger,… Read More

SEC Charges Accounting Firm with “Massive Fraud,” May Impact Reg A+ Issuers

The Securities and Exchange Commission (SEC) has charged BF Borgers CPA PC and its owner, Benjamin F. Borgers with deliberate and systemic failures to comply with Public Company Accounting Oversight Board (PCAOB) standards in its audits and reviews incorporated in more than 1,500 SEC filings… Read More

Fundrise Flagship Fund Returns 2.46% in Q1. Income Fund Annualized at 7.91%

While Fundrise continues to pound the table on its newish early-stage investment fund with non-stop commercials on CNBC, the company is quietly generating decent returns on the legacy side of the business of real estate investments. According to a recent report, the Fundrise Flagship Fund… Read More

DealMaker Highlights Issuer’s Multi-Round Funding Strategy

DealMaker, a  broker-dealer that specializes in online capital formation, has posted an example of an issuer that has raised funding multiple times utilizing different platforms. In venture capital (VC), it is typical for a company to start with a Seed Round and then move on… Read More

Boxabl Files for New Reg A+ Offering

Boxabl will be returning to the crowdfunding market to raise more money. The company has pursued multiple online funding rounds as it seeks to execute its mission of mass-producing affordable prefab housing. According to a recent Form 1-A filed with the Securities and Exchange Commission,… Read More

Reg A+ Needs Some Fixes: Issuer Shares Challenges of Raising Money Using the Crowdfunding Exemption

There are three securities exemptions created by the JOBS Act of 2012 that enable firms to raise money online. Reg CF [Regulation Crowdfunding], Reg D 506c (accredited only), and Reg A+ [Regulation A]. If a company uses Reg A+, they may raise up to $75… Read More

The Death Trap: How Startups Risk It All to Go Public

  My father-in-law always used to say, “If you sleep with dogs, you wake up with fleas.” Well, increasingly, it seems many founders – and their early investors – are discovering how painfully true that is, as the promise of an early IPO turns into… Read More

Senate Legislation Aims to Boost Cap on Reg A+, Expand Definition of an Accredited Investor

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

Reg A+ Update: Data Highlights Performance in this Sector of Crowdfunding

Data pertaining to online capital formation, or crowdfunding, can be hard to come by. Several providers provide good numbers when it comes to Regulation Crowdfunding (Reg CF), but when it comes to Reg A+ and Reg D 506c – it is a bit of a… Read More

Time List of Best Inventions of 2023 Includes at Least Two Crowdfunded Firms

Recently, CI received a note from DealMaker indicating that several of their issuers have been recognized by Time magazine as the Best Inventions of 2023. DealMaker is a tech-enabled broker-dealer helping firms to raise capital online utilizing various securities exemptions. This is certainly not the… Read More

With the Closing of the Funding Round Near, StartEngine Tops $20 Million in Investments

StartEngine, one of the largest investment crowdfunding platforms in the US, is nearing the close of its most recent self-funding round. StartEngine launched a Reg A+ securities offering earlier this year, selling equity in the company at a pre-money valuation of $1.32 billion. You may… Read More

Real Estate Investment Platform Groundfloor Reports Topping $500 Million in Repayments

Real estate investment platform Groundfloor says it has surpassed $500 million in loan repayments. This includes both principal and interest paid. Groundfloor says that it is currently home to over 230,000 registered investors. Currently, Groundfloor reports that it has nearly $300 million in Assets Under… Read More

What Did Stakeholders Tell FINRA it Should Do to Improve Access to Capital?

Earlier this month, CI reported on the Association of Online Investment Platforms (AOIP) – the group that advocates on behalf of platforms raising capital online – submitting recommendations to FINRA regarding a request for feedback on improving capital formation. FINRA [Financial Industry Regulatory Authority] is… Read More

Boxabl Returning to StartEngine, Receives $2.5 Million in “Reservations”

Pre-fab home firm Boxable is looking to raise more money online on StartEngine. As was previously reported in May, Boxable revealed its intent to raise capital by raising money in a Reg A+ and Reg D offering as well as a pitch on FrontFundr in… Read More

StartEngine’s Self Crowdfunding Round Now Over $16 Million

One of the largest securities crowdfunding platforms in the US continues to move the ball down the field in a self-crowdfunding round. It was reported in May that StartEngine had raised $14 million. Today that amount is well over $16 million. Almost 9000 investors have… Read More

Reg A+: Worthy Announces New Property Bond for Investors to “Meet Demand”

Worthy Financial, Inc., has announced another securities offering in the form of a property bond that generates a 5.5% fixed return for investors. The security is issued under the Reg A+ exemption and is available for retail investors. The offering document must be qualified by… Read More

Groundfloor CEO Shares Insight into Real Estate Marketplace and Investment Opportunities

  Brian Dally, co-founder and CEO of Groundfloor, operates a unique online investment platform for real estate investors. By using the Reg A+ exemption, Groundfloor enables smaller investors to gain access to residential properties – a sector of the market that continues to experience robust… Read More

DealMaker CEO Rebecca Kacaba Shares Opinion on Capital Markets, Investment Crowdfunding and Opportunity

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

DiversyFund REIT, Issued Under Reg A+, Hit by SEC Administrative Action: Commissioner Uyeda Says No Expansion of Rule Requirements

DF Growth REIT II, LLC, managed by DiversyFund, has been hit with a Securities and Exchange Commission (SEC) administrative action. According to the SEC, DF Growth REIT II failed to adhere to certain requirements for securities issued under Reg A+, a JOBS Act exemption that… Read More

Monogram Orthopaedics Trades Shares on Nasdaq Following Reg A+ Securities Offering

Monogram Orthopaedics (NASDAQ:MGRM) aw its shares trade on Nasdaq following private security offering under Reg A+ – an exemption that allows retail investors to back a private firm. The offering was facilitated by DealMaker, a platform, and broker-dealer specializing in private securities and Republic, which… Read More

Send this to a friend