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Crowdfunding (36)
Your search for Crowdfunding returned 36 results.
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9/26/2018 | Content area: Broker-Dealer
Skelley and Shah in fact diverted more than $1 million of investor funds for their personal use. The complaint also alleges that Skelley made materia...
9/21/2018 | Content area: Investment Adviser | Broker-Dealer
We are adopting interim final temporary rules for issuers subject to reporting obligations pursuant to Regulation Crowdfunding and Regulation A in ord...
5/09/2017 | Content area: Investment Adviser
As regulators, we also have a responsibility to ensure that our rules are functioning as intended and in an effective and efficient manner. We must en...
4/20/2017 | Content area: Broker-Dealer
FINRA has simultaneously released three regulatory notices related to broker-dealers’ participation in the capital formation process. The SRO is seeki...
4/12/2017 | Content area: Broker-Dealer
We are adopting technical amendments to conform several rules and forms to amendments made to the Securities Act of 1933 (‘‘Securities Act’’) and the ...
2/28/2017 | Content area: Investment Adviser
As engines of economic growth, small businesses can more easily access capital from previously unavailable sources — directly from American investors....
2/28/2017 | Content area: Investment Adviser
In addition, while crowdfunding may democratize capital-raising, it may not be reaching a varied enough base of entrepreneurs. We need to continue to ...
2/23/2017 | Content area: Broker-Dealer
Crowdfunding and the portals that bring buyers and sellers together online are gaining traction. Twenty-one funding portals have emerged to facilitate...
2/17/2017 | Content area: Investment Adviser
The amendments to Regulation D may lead to states developing regional offering exemptions so companies could raise capital from investors in a specifi...
1/02/2017 | Content area: Broker-Dealer
The crowdfunding world has its first major casualty: an online funding portal that allegedly ignored myriad warning signs of issuers looking to raise ...
9/21/2016 | Content area: Broker-Dealer
Since December 2012, when FINRA began requiring firms to file private placement offering documents in its Firm Gateway system, the SRO has received mo...
7/19/2016 | Content area: Investment Adviser
I can report that a very diverse range of companies are using the crowdfunding exemption and that, as of July 18th, there had been over 60 offerings w...
5/19/2016 | Content area: Broker-Dealer
Capital raising under the new federal crowdfunding rules is now off and running. On May 16—the day the crowdfunding rules came into effect—SEC Chair M...
5/18/2016 | Content area: Investment Adviser | Broker-Dealer
I also very much welcome your discussion this afternoon of Regulation D, one of the primary engines of capital formation in this country. Approximate...
5/11/2016 | Content area: Broker-Dealer
Importantly, in implementing our statutory crowdfunding mandate, the SEC’s rules seek to maintain strong investor protections, while also streamlining...
3/31/2016 | Content area: Broker-Dealer
As an integral part of the implementation of each one of these new tools, I have drawn on the expertise of the staff across the agency and engaged the...
2/25/2016 | Content area: Investment Adviser | Broker-Dealer
For example, how will Reg A+ and Reg Crowdfunding work in practice? What are the best metrics we can develop to measure whether or not these new regul...
2/18/2016 | Content area: Broker-Dealer
Come May 16, start-up and early stage companies will be permitted to use crowdfunding to offer and sell securities to investors (IA Watch, Oct. 30, 20...
2/03/2016 | Content area: Investment Adviser | Broker-Dealer
The effective date for subpart U, which adds Form Funding Portal, was inadvertently omitted in the DATES section of the Federal Register. This correct...
12/22/2015 | Content area: Broker-Dealer
The SEC made a splash this fall when it cleared the way for equity crowdfunding for small investors (IA Watch, Oct. 30, 2015). For broker-dealers, the...


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