Speaker – Syndication Lawyers Regulation A+ and Crowdfunding Workshop, December 9, 2015, Santa Ana, CA
Speaker – Syndication Lawyers Regulation A+ and Crowdfunding Workshop (Regulation A, Regulation D, SEC and state regulator activity, technology and compliance providers), December 9, 2015, Doubletree Club Hotel, 7 Hutton Centre Dr., Santa Ana, CA.
Read MoreSpeaker – Master Class: Real Estate Alternative Financing, November 18, 2015, NYC
Speaker – Master Class: Real Estate Alternative Financing (Crowdfunding, Reg A+, Reg D, Rule 506(c), Direct Public Offering), November 18, 2015, 800 Third Avenue, New York, NY.
Read MoreFinlaw: To Tap the Full Benefits of Reg A+, Test the Waters Before Diving In
While we are waiting for the 180 days or so before Regulation Crowdfunding becomes effective, an issuer may wish to consider other options presently available that permit nonaccredited investor participation. Reg A+ offers some attractive options for a small issuer that needs to raise capital to grow its business. You can raise up to fifty
Read MoreFINLAW: FINRA proposes rule changes to regulate Title III Funding Portals
Under Title III of the JOBS Act, a crowdfunding intermediary that engages in crowdfunding on behalf of an issuer of securities is required to register with the SEC as a “funding portal” or a broker-dealer, and to become a FINRA member. In anticipation that the SEC will take action on Title III crowdfunding shortly, FINRA’s
Read MoreFinLaw: Raising Money online with a Participating Broker-Dealer? Welcome to the World of FINRA Regulation
In my last article regarding Regulation A+ filing requirements, I discussed how when raising funds for a Reg A offering you are required not only to make a Form 1-A filing with the SEC, but also one with FINRA pursuant to FINRA Rule 5110. Rule 5110, known as the Corporate Financing Rule, enables FINRA to review and
Read More