Tagged: regulation d

March 14, 2023 @ 10:08 am By JD Alois  |  

Last month, CI hosted a webinar to review the securities crowdfunding market of 2022 as well as expectations for 2023. While the consensus of the group was that online capital formation softened in the waning months of 2022, panelists participating in the webinar were more… 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 @ 8:47 am By JD Alois  |  

CI recently published an update on Reg CF [Regulation Crowdfunding], an exemption that allows a business to raise up to $5 million in an online securities offering. Investors may be non-accredited or accredited. While the legislation creating Reg CF was signed into law in 2012,… Read More

December 30, 2022 @ 3:38 pm By JD Alois  |  

GUARDD, a Fintech that was co-founded by Sherwood “Woodie” Neiss, Doug Ellenoff, and Jim Dowd, is looking to raise up to $2 million in growth capital on SeedInvest. For those of you in the know, Neiss, Ellenoff, and Dowd are Fintech superstars, each active in… Read More

December 21, 2022 @ 9:22 am By JD Alois  |  

GenesisAI is raising money on Netcapital as it aims to create an open marketplace for artificial intelligence (AI) applications. According to the offering page, GenesisAI is raising up to $3 million under Reg CF. Investors are receiving Class A Common Stock at a pre-money valuation… Read More

November 30, 2022 @ 10:47 am By JD Alois  |  

  The Securities and Exchange Commission (SEC), Small Business Capital Formation Advisory Committee (SBCFAC), has posted two letters advising the Commission on key policy goals that impact capital formation, especially for smaller – private firms. The Committee is the creation of the SEC Small Business… Read More

November 18, 2022 @ 11:51 am By JD Alois  |  

The Securities and Exchange Commission’s regulatory agenda during the current leadership has changed little since it was first revealed in 2021. One item that has been near the top of the list is Reg D “improvements,” including an update to the Accredited Investor definition. Regulation… Read More

October 20, 2022 @ 12:31 pm By JD Alois  |  

Weltio, a Y-Combinator alumni that aims to service Latin American investors with an investing app, is raising growth capital on Wefunder. According to the offering page, Weltio is aiming to raise $1.15 million in a SAFE with a $15 million valuation cap. So far, Weltio… Read More

September 8, 2022 @ 11:43 am By JD Alois  |  

Dalmore Group is a regulated broker-dealer that is very active in the securities crowdfunding sector, helping firms raise money using Reg A+ (Regulation A), Reg CF, as well as Reg D. Dalmore not only enables funding via exempt securities offerings but it also provides secondary… Read More

August 24, 2022 @ 6:23 pm By JD Alois  |  

Really Good Boxed Wine, a beverage startup – just like its name, is seeking to raise up to $1.8 million in Seed funding on SeedInvest. According to the offering page, Really Good Boxed Wine is raising preferred equity at a pre-money valuation of $6.7 million…. Read More

August 20, 2022 @ 3:37 pm By JD Alois  |  

This past week, the Securities and Exchange Commission (SEC), staff of the Office of Investor Education and Advocacy, posted a warning about private placements under Reg D, including 506c and 506b, as well as Rule 504. Reg D is an exemption that is widely utilized… Read More

July 7, 2022 @ 3:45 pm By JD Alois  |  

Rialto Markets has added over $1.2 billion in signed contracts from private company issuers. As the cost of going public has risen, fewer companies have pursued the option of raising capital in an IPO and trading on an exchange. This cost of compliance is predicted… Read More

May 16, 2022 @ 7:30 am By David R. Burton  |  

Passed with large bipartisan majorities and signed into law by President Obama, the 2012 JOBS Act was a bipartisan achievement of consequence. The JOBS Act substantially improved the laws governing entrepreneurial capital formation and has had a measurable positive impact on entrepreneurial capital formation. But… Read More

April 7, 2022 @ 7:00 pm By JD Alois  |  

The Republican Staff of the House Financial Services Committee has produced a report revisiting the JOBS Act of 2012 and the decade since the legislation became law.  Perhaps the best-known outcome of the legislation was to legalize online capital formation – or crowdfunding – but… Read More

March 24, 2022 @ 6:19 pm By JD Alois  |  

Last month, the SEC Small Business Capital Formation Advisory Committee held a virtual meeting to discuss the definition of an Accredited Investor. For anyone viewing the meeting, it was clear that Committee members would like to make it easier for individuals to qualify as Accredited,… Read More

March 11, 2022 @ 10:42 am By JD Alois  |  

In the United States, securities or investment crowdfunding was legalized under the JOBS Act of 2012. This bi-partisan legislation was in recognition of changes in technology as well as an understanding of the need to better facilitate capital formation for early-stage firms. Effectively, there are… Read More

March 3, 2022 @ 4:55 pm By JD Alois  |  

The Importance of Compliance. Under the JOBS Act 0f 2012, online capital formation – or investment crowdfunding, became legal in the US. Three exemptions were created that enabled firms to raise money online to fund a company by selling securities. The legislation created Regulation Crowdfunding… Read More

February 17, 2022 @ 10:00 pm By JD Alois  |  

Rellevate, a neobank and payments platform, is raising growth capital on SeedInvest. According to the offering page, Rellevate is looking to raise up to $4 million in a Seed round at a pre-money valuation of $13.5 million. The offering is being issued under both Reg… Read More

February 16, 2022 @ 3:09 pm By JD Alois  |  

Insurtech Assurely has announced the expansion of their TigerMark Directors and Officers Liability (D&O) insurance program. Assurely is the only insurance platform publicly promoting its exempt securities insurance program. Assurely insures companies and platforms using Reg CF, Reg A+ and Reg D 506c According to… Read More

February 2, 2022 @ 6:27 pm By JD Alois  |  

January is finally over and for many people who pursued dry January, it could not have come to an end soon enough. Many people in the US and elsewhere attempt to give their bodies a break from the Holiday festivities which frequently include lots of… Read More