Crowdfunding Funding Portal

Crowdfunding is a method for raising capital whereby many individuals network and pool their funds, usually via the internet or social media. Crowdfunding methods are used in a variety of circumstances including,... more +
Crowdfunding is a method for raising capital whereby many individuals network and pool their funds, usually via the internet or social media. Crowdfunding methods are used in a variety of circumstances including, but not limited to, supporting charitable organizations, disaster relief, product development, artistic projects, and financing start-up companies. The passage of the JOBS Act of 2012 sought to broaden the use of crowdfunding in developing private capital for start-up companies by relaxing certain SEC investor registration requirements. less -
News & Analysis as of

The Equity Crowdfunding Rules: What You Need to Know

The SEC’s equity crowdfunding rules finally go into effect this month almost four years after Congress passed the JOBS Act, requiring the relaxing of certain rules on raising funds. So what does equity crowdfunding actually...more

Crowdfund Your Restaurant: New Equity Financing Option Could be Industry Game Changer

Have you always dreamed of investing in a restaurant, but never had the capital necessary to make that vision a reality? Or, perhaps you are an aspiring restaurateur looking to engage local food lovers more deeply in the...more

First Crowdfunding Portal Application Appears on EDGAR

CFS, LLC became the first crowdfunding portal application available on EDGAR. Actually, the initial application and two amendments are available. The company will conduct business under the name uFundingPortal and its website...more

SEC Crowdfunding Rules to Become Effective May 16

Securities and Exchange Commission rules authorizing equity crowdfunding become effective May 16, 2016. Under the crowdfunding rules, an eligible company may raise up to $1 million on the internet in a 12-month period,...more

Federal Crowdfunding: Practical Considerations For Interested Parties

This is the second of a series of articles on the final federal crowdfunding rule (the “Regulation”) recently adopted by the Securities Exchange Commission (“SEC”). As explained more fully in our original article, federal...more

Shopping for Startups – SEC Offers Additional Guidance for Intermediary Crowdfunding Portals

I previously wrote about the new rules of the Securities and Exchange Commission (“SEC”) allowing startups to utilize crowdfunding platforms to sell an equity stake in their business to investors in exchange for working...more

FinCEN Proposes Imposing BSA Requirements on Crowdfunding Portals

On April 4, FinCEN issued a proposed rule to amend the definitions of “broker or dealer in securities” and “broker-dealer” under the regulations implementing the BSA. Specifically, FinCEN proposed that the definitions be...more

FinCEN Proposes Funding Portals Regulations under Bank Secrecy Act

On April 4, 2016, the Financial Crimes Enforcement Network, a bureau of the Department of the Treasury (“FinCEN”), proposed amendments to the definitions of ‘‘broker or dealer in securities’’ and ‘‘broker-dealer’’ under the...more

FinCEN Proposes Amendments to Bank Secrecy Act to Cover Crowdfunding Portals

FinCEN, a bureau of the Department of the Treasury, has proposed amendments to the definitions of “broker or dealer in securities” and “broker-dealer” under the regulations implementing the Bank Secrecy Act. This rulemaking...more

Your daily dose of financial news The Brief – 4.4.16

It appears that Alaska Airlines has won in the pursuit of Virgin America’s operations, beating out rival JetBlue for the former Richard Branson venture. Alaska announced this morning that “had agreed to acquire Virgin America...more

Fix Crowdfunding Act Improves JOBS Act

The Fix Crowdfunding Act has been introduced by Representative Patrick McHenry, who was one of the architects of the FAST Act provisions simplifying securities laws. The Fix Crowdfunding Act increases the $1,000,000...more

SEC Publishes Investor Guide for Crowdfunding

As part of its commitment to consumer education the U.S. Securities and Exchange Commission has published an Investors Guide to Crowdfunding. Referring to the upcoming May 16, 2016, start date, the SEC's publication is...more

Funding Portal Small Entity Compliance Guide

The staff of the Securities and Exchange Commission recently posted an updated “small entity compliance guide” that summarizes and explains the rules adopted by the SEC that implement a regulatory framework for intermediaries...more

Regulation Crowdfunding – Funding Portals and Other Crowdfunding Intermediaries

Title III of the Jumpstart Our Business Startups Act (JOBS Act) created a new securities registration exemption for crowdfunding offerings by adding Section 4(a)(6) to the Securities Act of 1933 (the Securities Act). In late...more

SEC Approves FINRA Portal Rules, Forms for Crowdfunding Under Title III

The U.S. Securities and Exchange Commission (SEC) approved the Financial Industry Regulatory Authority, Inc.'s (FINRA) crowdfunding Portal Rules for companies that want to operate an intermediary “funding portal” pursuant to...more

Corporate and Financial Weekly Digest - Volume XI, Issue 5

SEC/CORPORATE - SEC Approves FINRA’s Funding Portal Rules - On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for...more

Winery Equity Crowdfunding Raises Opportunities, Risks

Many are familiar with the rewards-based model of crowdfunding popularized by websites like Kickstarter and Indiegogo. The basic idea is that a group of individuals — the “crowd” — contributes funds to a company or project in...more

Crowdfunding Portals Can Now Register with the SEC

As discussed in the November 6, 2015 edition of the Corporate and Financial Weekly Digest, on October 30, 2015, the Securities and Exchange Commission adopted “Regulation Crowdfunding,” which consists of final rules that will...more

SEC Approves FINRA’s Funding Portal Rules

The SEC approved FINRA’s Funding Portal rules for entities that intend to function as funding portals in crowdfunded offerings made pursuant to Regulation Crowdfunding. We had previously posted a link to the rule text. On...more

Crowdfunding Portals Begin to Register With the SEC

The SEC registration process for Title III crowdfunding portals was recently commenced. So far we are aware of one Form Funding Portal that has been filed to begin the registration process. ...more

New crowdfunding regime implemented, existing start-up crowdfunding rules amended

On January 25, 2016, five provinces implemented rules aimed at facilitating small investments made through online portals, a practice known as “equity crowdfunding”. As we discussed in a previous Insight, securities...more

FINRA Amends Proposed Funding Portal Rules

On January 21st, FINRA filed an amendment to its proposed rule changes relating to the registration, supervision and oversight of crowdfunding funding portals. The Securities and Exchange Commission published a notice and...more

Joining the Crowd: SEC Adopts Final Crowdfunding Regulations - Part III - Intermediaries

On October 30, the U.S. Securities and Exchange Commission (“SEC”) adopted final rules in the form of Regulation Crowdfunding to implement the securities-based crowdfunding exemption in Section 4(a)(6) of the Securities Act...more

Overview of Regulation Crowdfunding

Regulation Crowdfunding – which becomes effective May 16, 2016 -- implements the requirements of Title III of the Jumpstart Our Business Startups (JOBS) Act. The new rules will enable individuals to invest in startup...more

Finding Investors in a Crowd—New SEC Rules Clear the Way for Startups to Use Crowdfunding to Exchange Equity for Capital

Soon startups will be able to use crowdfunding platforms to sell an equity stake in their business to investors in exchange for working capital. However, as explained below, this new capital pathway may be of limited utility...more

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