Law Blog Tag: Crowdfunding Act

Title III Crowdfunding

December 22, 2015 in Crowdfunding, Intrastate Crowdfunding, JOBS ACT, JOBS ACT and Crowdfunding, Section 4(a)(6), Uncategorized

SEC Advisory Committee On Small And Emerging Companies Recommends Modernizing Rule 147 for Intrastate Crowdfunding Offerings

October 13, 2015 in Crowdfunding, Intrastate Crowdfunding, Intrastate Offering, JOBS ACT, JOBS ACT and Crowdfunding, Rule 147, SEC, SEC Advisory Committee, Securities Attorney, Uncategorized

Intrastate Crowdfunding Legislation Has Passed in Florida

July 28, 2015 in Florida Corporate Statutes, Intrastate Crowdfunding, Intrastate Offering, JOBS ACT, JOBS ACT and Crowdfunding, Regulation D, Rule 147, SEC, Uncategorized

SEC Issues Advertising Guidance Related to State-Specific Crowdfunding

October 21, 2014 in Crowdfunding, Intrastate Offering, JOBS ACT, JOBS ACT and Crowdfunding, Rule 147, Section 3(a)(11), Section 4(a)(6), Section 5, Uncategorized

Proposed Crowdfunding Rules – Part II

December 03, 2013 in Crowdfunding, FINRA, Form C, Funding Portals, JOBS ACT, JOBS ACT and Crowdfunding, Securities Attorneys

Proposed Crowdfunding Rules – Part I

November 19, 2013 in Crowdfunding, FINRA, Form C, Funding Portals, JOBS ACT, JOBS ACT and Crowdfunding, Rule 506, Section 4(a)(6), Securities Attorneys

State Crowdfunding Using Intrastate Offerings and Rule 147

September 10, 2013 in 15c2-11 Application, Crowdfunding, FINRA, Funding Portals, Intrastate Offering, JOBS ACT and Crowdfunding, Rule 147, SEC Rule 15c2-11, Section 3(a)(11)

CROWDFUNDING FROM A TO Z

October 04, 2012 in Crowdfunding, FINRA, Form D, Funding Portals, JOBS ACT, JOBS ACT and Crowdfunding, Rule 144, Section 5, White Paper

As the expected deadline for the SEC to publish rules and regulations enacting the Crowdfunding Act (Title III of the Jumpstart Our Business Startups Act (JOBS Act)) grows nearer, it is a good time for a complete overview of crowdfunding. New Sections 4(6) and 4A of the Securities Act of 1933 codify the crowdfunding exemption and its various requirements as to Issuers and intermediaries. The SEC is in the process of drafting the underlying rules and regulations which will implement these new statutory provisions.

Q2 By The Numbers – An Analysis of Market

July 24, 2012 in IPO, JOBS ACT, JOBS ACT and Crowdfunding, Private Investment in Public Equity (PIPE), Securities Attorneys

First, I’d like to give credit to The DealFlow Report which was my initial source for the numerical factual information in this blog.

The Numbers and Facts

Q2 reflects the uncertainty that goes along with an election year and the concerns over tax increases (or decreases) that go along with election years. There also remains the ongoing worry over European markets. In short, it is a time of change and uncertainty. Moreover, according to Adam Lyon, a managing director and co-head of private capital at Conaccord Genuity, the small cap financing market, “is probably in for the usual seasonal fluctuations: a tough summer followed by a pick-up in late August and September.” I note that my law firm has seen this trend consistently for the past decade.

FINRA Seeks Public Comment in Advance of Crowdfunding Rulemaking

July 10, 2012 in Broker-Dealer, Crowdfunding, FINRA, Funding Portals, JOBS ACT, JOBS ACT and Crowdfunding, Section 304, Securities Attorneys

The Financial Industry Regulatory Authority (FINRA) has requested public comment and input in advance of preparing and publishing proposed rules related to the Crowdfunding Act. The scope of the FINRA rules will be written specifically for registered funding portals and although they will need to be complementary to the SEC rules, it is intended that they not be duplicative. FINRA has set August 31, 2012 as the deadline for receiving comments.

1 2