Tagged: regulation d

JOBS Act 4.0: Improving the Regulatory Environment for Entrepreneurial Capital Formation

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

Republican Staff Report Reviews Past Decade of JOBS Act Benefits: More Work Must Be Done

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

An SEC Committee Wants to Make it Easier to Qualify as an Accredited Investor, Will the Commission Listen?

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

US Investment Crowdfunding Exemptions Explained

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

Investment Crowdfunding: The Importance of Securities Compliance with Online Capital Formation

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

Digital Banking Platform Rellevate Aims to Raise $4 Million on SeedInvest

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

Insurtech: Assurely Expands Directors and Officers Liability Insurance

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

Doing Dry January? Drink Monday Could Ease the Struggle and They Are Raising Capital on SeedInvest

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

Crowdfunded Company Trust Stamp to Ring Nasdaq Opening Bell

Trust Stamp, a company that raised capital using the Reg CF exemption, will ring the opening bell on Nasdaq today. Shares in Trust Stamp traded on the Nasdaq on January 31, 2022, under the ticker symbol IDAI. Trust Stamp used the crowdfunding exemption, along with… Read More

Following Reg CF – Reg D Round, Trust Stamp Trades on Nasdaq

Trust Stamp, a global provider of AI-powered identity services for use in banking finance, regulatory compliance, and more, has commenced trading on Nasdaq under the ticker symbol IDAI. This is an uplisting as Trust Stamp has been trading on OTC Markets. Gareth N. Genner, Trust… Read More

Lending as a Service: Alchemy Looks to Raise $25 Million to Continue Platform Growth

Alchemy, a lending as a service (LaaS) platform, is looking to raise $25 million to continue its recent growth surge – and it is actively seeking investors. The company was co-founded by CEO Timothy Li who’s resume includes advising big lenders like Rocket Mortgage, working… Read More

Policy Expert Comments on Removal of IRA Clause from Social Spending Bill that May Have Impacted Securities Crowdfunding

Last week, CI reported that a damaging clause included in pending legislation had been pulled from the language of the bill. The portion of the legislation was ostensibly designed to halt IRA investors (investment retirement accounts) from holding private securities in these tax-sheltered, retirement vehicles…. Read More

Rialto Markets CEO Says Calls NFTs “Unregulated Securities,” Optimistic on Investment Crowdfunding Under Reg CF, Reg A+

Shari Noonan, CEO of Rialto Markets, has issued a positive statement on investment crowdfunding while warning of “choppier waters” in the crypto sector and labeling NFTs [Non-Fungible Tokens] ” unregulated securities.” Rialto Markets is a FINRA regulated broker-dealer that offers securities under Reg CF (Regulation… Read More

$3.5 Trillion Social Spending Bill Includes Section Banning Private Securities from Retirement Accounts, May Impact Investment Crowdfunding

  Earlier this month, John Berlau, a Senior Fellow at the Competitive Enterprise Institute (CEI), wrote an article discussing the controversial $3.5 trillion social spending bill that is currently stuck in the US Senate due to intraparty disagreements. While initially pitched as “infrastructure” or “reconciliation”… Read More

Real Estate Tokenization Platform RedSwan CRE Looks to Raise $5 Million on SeedInvest

Real estate tokenization platform RedSwan CRE is raising preferred equity capital on SeedInvest seeking up to $5 million in funding. The securities are being issued under both Reg CF and Reg D so it is open to both accredited and non-accredited investors. The “tiered preferred… Read More

MicroVentures is a Broker Dealer Offering Securities Crowdfunding. The Investment Platform Has Now Topped $450 Million in Investments

MicroVentures is a broker-dealer that raises capital under the various crowdfunding exemptions including Reg CF+, Reg D, and Reg A+. An early entrant into the sector, MicroVentures got its start catering to accredited investors but expanded its portfolio of services following the enactment of the… Read More

Rialto Markets Alternative Trading System Looks to Provide Secondary Trading in Reg A+, Reg CF Securities

Rialto Markets, a regulated alternative trading system (ATS), is looking to provide liquidity to the crowdfunding sector by enabling retail investors to sell or buy shares in securities issued under the Reg CF and Reg A+ exemptions. Rialto Markets CEO Shari Noonan says it is… Read More

NextSeed Says it has Now Returned $8 Million to Investors

NextSeed, an online capital formation platform, says it has now topped $8 million in returns since its inception in 2015. Initially launched as a bank replacement platform providing loans to SMEs, NextSeed has since expanded its offerings into other securities. In an email, NextSeed said… Read More

Securities Expert Concerned that SEC Agenda Could Hobble Capital Formation for Early Stage Firms

Earlier this month, the Securities and Exchange Commission (SEC) shared its regulatory agenda for the next couple of years. The list is quite long and includes many areas of the securities industry. At the top of the list, was the exempt offering ecosystem with the… Read More

Doug Ellenoff: Investment Crowdfunding Will Challenge Traditional Venture Capital

The US investment crowdfunding industry received a boost this year as the Securities and Exchange Commission (SEC) adjusted the securities exemptions that platforms and issuers utilize to raise growth capital online. Along with other improvements, key changes include the adjustment of Reg CF (Regulation Crowdfunding)… Read More

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