In this webinar sponsored by CrowdEngine with 130 attendees, we discussed various topics including where we are now and where we are going with capital raising using funding platforms, the various business models of funding platforms, and risks and regulatory issues that need to be addressed when launching or running[…]
From the Blog
On May 1, 2015, Scott Andersen spoke before the FSXinterlinked 2015 Financial Investment Conference in Atlanta, Georgia concerning Funding Platforms, including what presently is occurring in the equity and debt crowdfunding space and where we all go from here. http://interlinked.com/tv/2015/05/26/fsxinterlinked-investment-conference-special-session-capital-raise/
On April 28, 2015, finLawyer , Ofsink, LLC and Pacific Stock Transfer presented a webinar focused on FINRA and common questions and concerns issuers and transfer agents have when working with FINRA. Discussion items included the deposit and liquidation of small cap securities, FINRA investigations and FINRA Rule 6490.
As we’ve previously discussed, a serial issuer operating or using a website that displays and advertises offerings of securities (a “funding platform”) does not necessarily need to register with the SEC (or FINRA) as a broker-dealer.fn1 However, what about State blue sky laws? While Rule 506 of Regulation D and[…]
Can advisers operate a funding platform for Rule 506 offerings without registering as a broker-dealer? This is a common question in the Rule 506 offering space. Funding platforms are websites that display offerings, and there is confusion about what rules come into play, asked by people in many diverse sectors,[…]