Crowdfunding

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 ...

FINRA has simultaneously released three regulatory notices related to broker-dealers’ participation in the capital formation process. The SRO is seeking comment by May 30 on ...

We are adopting technical amendments to conform several rules and forms to amendments made to the Securities Act of 1933 (‘‘Securities Act’’) and the Securities ...

In addition, while crowdfunding may democratize capital-raising, it may not be reaching a varied enough base of entrepreneurs. We need to continue to examine the ...

As engines of economic growth, small businesses can more easily access capital from previously unavailable sources — directly from American investors. Through funding portals and ...

Crowdfunding and the portals that bring buyers and sellers together online are gaining traction. Twenty-one funding portals have emerged to facilitate crowdfunding, with 163 deals ...

The amendments to Regulation D may lead to states developing regional offering exemptions so companies could raise capital from investors in a specific region, rather ...

The crowdfunding world has its first major casualty: an online funding portal that allegedly ignored myriad warning signs of issuers looking to raise money from ...

Since December 2012, when FINRA began requiring firms to file private placement offering documents in its Firm Gateway system, the SRO has received more than ...

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 ...