Tagged: sec

December 6, 2014 @ 7:24 am By JD Alois  |  

Recently the first funding portal was cited by the SEC as not abiding by Rule 506(c) in regards to confirming investors were accredited.  Rule 506(c) is from Title II of the JOBS Act and refers to accredited crowdfunding and the ability to advertise or promote… Read More

December 3, 2014 @ 9:32 am By Samuel Guzik  |  

It could have been the kickoff of a grand political campaign – a slogan that would be proud to adorn a bumper sticker for the most ambitious of politicians – and a sound byte that would be sure to grab the next day’s headlines in… Read More

November 29, 2014 @ 1:58 pm By JD Alois  |  

The week of November 17th should be officially designated “SME Regulatory Week” due to the number of events that occurred in our nation’s Capitol over several days.  The primary draw was the SEC Government-Business Forum on Small Business Capital Formation. In contrast to past years,… Read More

November 28, 2014 @ 7:32 am By Kim Wales  |  

The 2014 Securities and Exchange Commission Government-Business Forum on Small Business Capital Formation ensued on November 20, 2014 at the SEC headquarters in Washington, D.C. In usual form, since the signing of the Jumpstart Our Business Startups Act (JOBS Act), the crowd (attorney’s, issuers, intermediaries, regulators, investors,… Read More

November 26, 2014 @ 8:00 am By Anthony Zeoli  |  

  Last week I had the opportunity to attend the 2014 Government-Business Forum on Small Business Capital Formation in Washington D.C. where Commissioner Daniel M. Gallagher gave his opening remarks after the first panel. In what I can only refer to as a “mic drop”… Read More

November 24, 2014 @ 3:07 pm By Samuel Guzik  |  

For those of you who have been reading my articles over the past four months, I have tried to create heightened awareness of a perennial SEC event, the SEC Government-Small Business Forum, an annual event borne out of bi-partisan legislation in 1980. Its primary purpose:… Read More

November 24, 2014 @ 11:29 am By JD Alois  |  

The SEC Advisory Committee on Small and Emerging Companies will hold its next meeting on Wednesday, Dec. 17, beginning at 9:30 a.m. ET.  The committee will focus on the interests and priorities of emerging and smaller public companies. The December 17 meeting will be held… Read More

November 20, 2014 @ 5:24 pm By Samantha Hurst  |  

Prodigy Network has announced the launch of its new real estate crowdfunding website, which will feature a secure transactional platform to permit accredited investors – certain investors who have regular income of over $200,000 or net worth, excluding their primary residence, of over $1 million… Read More

November 20, 2014 @ 10:43 am By Erin Hobey  |  

The Securities and Exchange Commission today announced that its Advisory Committee on Small and Emerging Companies will hold its next meeting on Wednesday, Dec. 17, beginning at 9:30 a.m. ET.  The committee will focus on the interests and priorities of emerging and smaller public companies…. Read More

November 19, 2014 @ 1:00 pm By JD Alois  |  

On the eve of the annual SEC Forum on Small Business Capital Formation, House Financial Services Committee Chair Jeb Hensarling is calling out the SEC to take action on promoting small business.  In recent years the annual event at the SEC has become a more… Read More

November 19, 2014 @ 9:15 am By Richard Swart  |  

  In my May 2014 article, “The Bell Tolls for Title III”, I laid out the reasons why it was highly unlikely that the SEC would issue Title III rules before the November elections and predicted that should the Senate flip to Republican control, we… Read More

November 18, 2014 @ 8:36 am By Samantha Hurst  |  

All five Security  and Exchange Commission (SEC) commissioners are scheduled to speak at the Annual Government-Business Forum on Small Business Capital Formation on Thursday (November 20th) from 9 a.m. to 5:30 p.m. It is expected that they will release significant news on Title III and Title… Read More

November 17, 2014 @ 11:08 am By Joe Wallin & Dan Lear  |  

My friend Dan Lear and I wrote the attached letter to Congress to try to encapsulate in one place our various public policy suggestions to help startups. What you will find in the letter are 13 very specific and detailed public policy initiatives that Congress… Read More

November 16, 2014 @ 2:22 pm By Samuel Guzik  |  

Though SEC Commissioners Daniel M. Gallagher and Kara Stein may have travelled on the same plane on the way to the Los Angeles County Bar Association Annual Securities Regulation Conference to address a room of securities industry professionals on October 24, judging by their public… Read More

November 14, 2014 @ 12:45 pm By JD Alois  |  

The Securities and Exchange Commission has published the agenda, along with the names of the associated panelists, for the 2014 SEC Government-Business Forum on Small Business Capital Formation.  Each of the five sitting Commissioners are expected to be in attendance including Chair Mary Jo White…. Read More

November 14, 2014 @ 12:39 pm By JD Alois  |  

The Securities and Exchange Commission, in partnership with the U.S. Small Business Administration, today announced they will jointly host an event on November 19, a day prior to this year’s Government-Business Forum on Small Business Capital Formation, to inform small business owners and entrepreneurs about new… Read More

November 14, 2014 @ 12:16 pm By JD Alois  |  

The SEC Government Business Forum on Small Business Capital Formation has gained in popularity in recent years.  In light of the JOBS Act and growing recognition of the profound importance of small business to economic growth – what was once a bit of a quiet affair… Read More

November 10, 2014 @ 1:19 pm By JD Alois  |  

First Investment Crowdfunding Platform to Stumble on General Solicitation Requirements. Eureeca, a Dubai based investment crowdfunding platform, ran afoul of the Securities and Exchange Commission as a Cease and Desist order was filed today against the young company.  Regulators instituted proceedings based off of findings… Read More

November 10, 2014 @ 7:27 am By Samuel Guzik  |  

As one who has represented small and emerging growth companies over the past 36 years in navigating access to the capital markets, I have closely followed the legislative and regulatory developments in Washington, D.C. since the enactment of the Jumpstart Our Business Startups Act of… Read More

November 8, 2014 @ 12:09 pm By JD Alois  |  

The Crowdfund Intermediary Regulatory Advocates (CFIRA) has scheduled a public event in Washington, DC, on November 21st, to update and review the community on various aspects of the JOBS Act including Title II, Title III and Title IV.  The 2nd Annual Regulatory Summit has been… Read More