Tagged: sec

January 6, 2015 @ 10:42 am By Samantha Hurst  |  

ReverseMergers.com, a provider of reverse mergers and alternative public offering solutions for companies looking to raise capital or provide both investor liquidity, announces the release of several alternative public offering market predictions for 2015. The company expects an increase toward IPO-alternatives in 2015 as the IPO… Read More

January 2, 2015 @ 9:35 am By JD Alois  |  

With 2014 finally at an end and 2015 just kicking off it is that time of year when predictions on the future of crowdfunding roll in.  Crowdfund Insider has already published more than a few interesting predictions for 2015 and we expect more to follow…. Read More

January 1, 2015 @ 2:07 pm By JD Alois  |  

The Securities and Exchange Commission has compiled a list of their most viewed stories for 2014.  As you may guess the list is rather heavy on enforcement.  The SEC dedicates considerable resources tracking down crooks and fraudsters.  The SEC may bring a variety of administrative… Read More

December 30, 2014 @ 6:39 am By JD Alois  |  

For the third year in a row the Securities and Exchange Commission has published an annual review of the past year, the primary focus being financial results.  The document is a nice summary of just about everything the SEC did last year.  As with any… Read More

December 29, 2014 @ 6:31 am By Jenna Cohen  |  

With reports that the final rule-making dates for Titles III and IV of the JOBS Act have been pushed back once again (potentially as late as October 2015), it’s as if the Securities and Exchange Commission (SEC) dropped a giant piece of coal in our… Read More

December 21, 2014 @ 4:47 pm By JD Alois  |  

The debate surrounding the definition of an Accredited Investor always includes a discussion regarding the number of individuals in the United States who actually qualify.  Recently Rachita Gullapalli, a financial analyst at the Division of Economic & Risk Analysis (DERA) at the SEC, put together… Read More

December 20, 2014 @ 3:27 pm By JD Alois  |  

The presentation below was created by SEC Senior Financial Economist Vladimir Ivanov and incorporates data on the private placement securities market through 2013.  While there are other available reports the research provided by Ivanov is probably the best.  Prior to his first review in 2012… Read More

December 19, 2014 @ 5:40 am By JD Alois  |  

As part of the JOBS Act, the SEC has proposed amendments that addresses Title V and Title VI of the Act.  The revised rules relate to the thresholds for registration, termination of registration, and suspension of reporting under Section 12(g) of the Exchange Act. The SEC will… Read More

December 17, 2014 @ 9:34 am By JD Alois  |  

At the recent Small Business Forum at the SEC held this past November one of the hot topics of discussion was the definition of an “Accredited Investor”.  As it stands today, an accredited investor is a wealthy sort that earns over $200,000 per year or… Read More

December 16, 2014 @ 7:30 am By Samuel Guzik  |  

As 2014 comes to a close, this is the time of year when all good journalists look back at the year’s events, and then look forward – typically with a list of bold predictions for the year ahead.  For those of you focused on small… Read More

December 15, 2014 @ 11:05 am By Anna Duning  |  

Today, Engine sent a letter signed by more than 200 entrepreneurs, investors, and members of the startup community to the Securities Commission to tell the agency it’s time it fulfills its statutory obligation and finalize rules to make the JOBS Act a reality. You can… Read More

December 11, 2014 @ 6:29 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) has released the agenda for the Advisory Committee on Small and Emerging Companies that is set to meet on December 17th.  This committee has been dormant for quite some time and recently SEC Chair Mary Jo White re-animated the… Read More

December 10, 2014 @ 2:54 pm By JD Alois  |  

CFIRA Co-Chair and Propelr Co-Founder DJ Paul was interviewed yesterday on Benziga as part of their pre-market prep show. The early discussion covers the basics, IE Title II, III and IV of the JOBS Act that deals with investment crowdfunding and the associated regulatory reform… Read More

December 10, 2014 @ 2:24 pm By JD Alois  |  

Alphaworks is part of the Betaworks family that is building really cool companies. Betaworks is a New York based entrepreneur factory that  claims Ken Lerer as Chairman and John Borthwick as Founder and CEO.  Lerner was one of the founders of HuffPo and lists a… Read More

December 10, 2014 @ 6:42 am By Kiran Lingham  |  

  Momentum is building towards a consensus on the highly controversial updates to the accredited investor definition (currently a person who has over $200,000 in income (or $300,000 jointly with spouse) or over $1M in net worth, excluding personal residence). Initially, there was some suggestion… Read More

December 9, 2014 @ 10:48 am By JD Alois  |  

  Groundfloor, a real estate investment crowdfunding platform based in Atlanta that offers “micro-loans”, posted a comment letter on the SEC site in mid November sharing their opinion on the hot topic of State Blue Sky Pre-emption:  something viewed by many as a compelling aspect… Read More

December 8, 2014 @ 3:46 pm By JD Alois  |  

The Securities and Exchange Commission has shut down two online virtual currency trading platforms that were creating markets in Bitcoin and Litecoin.    The sites were cited as operating without registering as broker-dealers or stock exchanges.  The sites were actually turned off in late 2013… Read More

December 8, 2014 @ 9:28 am By JD Alois  |  

The Securities and Exchange Commission agency rule list for the Fall of 2014 has recently been updated on the Office of Information and Regulatory Affairs web site.  The OIRA is part of the Office of Management and Budget. Remaining rules of the JOBS Act have… Read More

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