Tagged: regulation d

September 10, 2013 @ 4:46 pm By JD Alois  |  

Agenda Includes Important Issues Regarding Jobs Act Implementation. The Securities and Exchange Commission has released the agenda for their meeting of the Advisory Committee on Small and Emerging Companies to be held on Tuesday, September 17, 2013. The discussion is expected to include the final… Read More

August 27, 2013 @ 8:59 am By JD Alois  |  

Earlier this year the SEC announced they had finally decided to relax the ban on “General Solicitation” or advertising for certain private placement offerings for accredited investors.  In recognition of a changing environment, albeit in a delayed fashion, the regulators have been forced to adjust… Read More

August 20, 2013 @ 10:52 am By Charles Luzar  |  

SeedInvest general counsel Kiran Lingam and Cooley, LLP partner Jim Fulton recently took part in a panel hosted by General Assembly. The goal was to wrap some perspective around the changes coming with Title II of the JOBS Act and general solicitation for offerings under… Read More

August 17, 2013 @ 12:12 pm By Charles Luzar  |  

In a comment letter submitted to the SEC, AngelList co-founder and CEO Naval Ravikant raises concerns over a proposed rule that would require startups seeking funding to file Form D 15 days before general solicitation takes place. In a nutshell, Ravikant expresses doubt that entrepreneurs… Read More

August 14, 2013 @ 9:33 am By Charles Luzar  |  

Allegations by the Ohio Division of Securities reverberate through the entrepreneurial class & the crowdfunding industry Candace Klein has been an extremely visible figure in the world of crowdfunding. Beyond her role as CEO of lending-based platform SoMoLend, she is also the former chair and… Read More

August 11, 2013 @ 10:05 am By Charles Luzar  |  

In a joint letter sent to SEC Chairman Mary Jo White on July 22nd, 2013, Rep. Patrick McHenry (R-NC) and Rep. Scott Garrett (R-NJ) raised serious concerns over the proposed implementation of Title II and the lifting of the ban on general solicitation for private… Read More

August 7, 2013 @ 10:07 am By Charles Luzar  |  

SEC Formally Allows General Solicitation, or Advertising, for Certain Equity Offerings But Process to Accommodate is Still a Moving Target In the wake of Title II hitting the federal register, those active in the world of private placement securities are busy digesting the net effect… Read More

July 25, 2013 @ 10:22 am By David Drake  |  

Fundrise is churning a lot of attention, by  pioneering investing in real estate through the crowdfunding platform. It has empowered large numbers of average folks to pool their money and invest in local projects. Believing that everyone should have the opportunity to invest in real… Read More

July 24, 2013 @ 2:59 pm By JD Alois  |  

Earlier this month the SEC formally adopted rules which removed the ban on advertising – or general solicitation – on private placements.  With the publishing of the final rules in the Federal Register the regulations take effect 60 days from the date of publishing, being… Read More

July 3, 2013 @ 5:08 pm By JD Alois  |  

SEC Meeting on Wednesday, July 10th at 10AM  Will Address General Solicitation. The SEC has moved a step closer in finalizing the regulations regarding the implementation of the Jobs Act. Recently there was a meeting held with Mary Jo White which involved crowdfunding industry leaders… Read More

April 20, 2013 @ 3:00 pm By Mondaq  |  

On March 26, 2013, the SEC’s Division of Trading and Markets issued a no-action letter indicating that it would not recommend enforcement action under Section 15(a)(1) of the Exchange Act if a venture capital fund adviser and its management company (collectively, the “fund”) operated a… Read More

April 3, 2013 @ 11:45 am By Advisor One  |  

As the Securities and Exchange Commission prepares to end the ban on general solicitation of private placement offerings, state regulators issued an alert Tuesday warning investors about the risks in such sales. As it stands now, Rule 506 of Regulation D of the Securities Act of 1933… Read More

March 12, 2013 @ 7:00 am By Sang Lee, Return on Change CEO  |  

This article is contributed by Sang Lee (@rocsang), CEO and founder of Return on Change, the next generation’s investment crowdfunding portal (www.returnonchange.com). Follow Return on Change @rocspeaks for investment crowdfunding advice and updates. If there’s anything good that came out of 2012 for the finance… Read More

February 16, 2013 @ 8:34 am By WSJ.com  |  

Venture capital firms don’t have much appetite for consumer-goods products in their portfolios.  . According to Dow Jones VentureSource, venture firms invested a mere $116.6 million in food and beverage companies in all of 2012. By contrast, they invested $738.4 million in media and content… Read More

February 5, 2013 @ 8:11 am By WSJ.com  |  

A tectonic shift is under way in how companies raise money—and it will have a profound impact on U.S. investors and markets. According to the Securities and Exchange Commission’s most recent estimates, businesses have been raising more funds through private transactions than through debt and… Read More