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Securities Compliance Sentinel

Analysis of cutting-edge securities industry issues

Crowdfunding

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SEC Expects Crowdfunding Portals to be ‘Gatekeepers,’ Not Ignore Red Flags

By Ernest Badway on February 8, 2022

We wanted everyone to see the recent alert published by Kimberly L. Kwan and Joshua Ashby, concerning the SEC and Crowdfunding Portals.  SEC Expects Crowdfunding Portals to be ‘Gatekeepers,’ Not …
Continue Reading SEC Expects Crowdfunding Portals to be ‘Gatekeepers,’ Not Ignore Red Flags

Posted in Crowdfunding

CROWD FUNDING PLATFORMS AVOID BD REGISTRATION

By Ernest Badway on November 6, 2013

The Securities and Exchange Commission’s Division of Trading and Markets assured two entities that, if they sought accredited investors for start-up companies they would not risk enforcement action by failing…
Continue Reading CROWD FUNDING PLATFORMS AVOID BD REGISTRATION

Posted in Broker-Dealer Regulation, Crowdfunding, JOBS Act

SEC Pushes Reg D/Rule 144A Changes Back a Week

By Fox Rothschild LLP on August 22, 2012

In an unshocking move, the SEC decided to delay its Open Meeting on the changes to Rule 506 of Regulation D and Rule 144A required under the JOBS Act (which…

Continue Reading SEC Pushes Reg D/Rule 144A Changes Back a Week

Posted in Crowdfunding, JOBS Act, SEC Compliance

Cutting Through the Crowdfunding Hype

By Fox Rothschild LLP on April 10, 2012

Like many others, my interest in the JOBS Act really started with crowdfunding.  This is probably because securities law is an imposing tangle of archaic acts, byzantine regulations and repetitive…

Continue Reading Cutting Through the Crowdfunding Hype

Posted in Compliance and Supervision, Crowdfunding, Financial Industry Trends, JOBS Act, Registered Representatives, Securities Legislation, Securities Registration

Crowdfunding – Waiting For Senate Action

By Fox Rothschild LLP on November 23, 2011

George Washington famously (and perhaps apocryphally) compared the Senate to a cooling saucer, where the heated legislation from the more democratically accountable House could be considered by calmer…

Continue Reading Crowdfunding – Waiting For Senate Action

Posted in Crowdfunding, FINRA Compliance

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