On June 13, the final administrative rules implementing the MNvest intra-state crowdfunding exemption were adopted. The MNvest Rules were first proposed back in November of 2015. Yesterday's publication in the Minnesota...more
6/14/2016
/ Capital Raising ,
Crowdfunding ,
Cybersecurity ,
Funding Portal ,
Investment ,
Offerings ,
Personally Identifiable Information ,
Recordkeeping Requirements ,
Registration Requirement ,
Reporting Requirements ,
Rule 10b-5
The Securities and Exchange Commission issued final rules to implement the equity crowdfunding provisions under the JOBS Act on October 30, 2015, termed Regulation Crowdfunding. This post analyzes the rules and requirements...more
On January 6, 2015, FINRA released its 10th annual Regulatory and Examinations Priorities Letter in which it identified key areas of focus for FINRA investigations for 2015. Since the approval of FINRA Rule 5123 on June 7,...more
On December 18, 2013, the SEC published its proposal to modify Regulation A. The SEC is proposing to expand Regulation A into two tiers: Tier 1, for offerings of up to $5 million; and Tier 2, for offerings of up to $50...more
12/31/2013
/ Debt Securities ,
Dodd-Frank ,
Eligibility ,
Equity Securities ,
Exemptions ,
Offerings ,
Private Equity ,
Private Offerings ,
Regulation A ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Startups