Speaker, OTC Markets Regulation A+ Roundtable, October 20, 2015 in NYC
- By: admin
- Oct 21
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Speaker at OTC Markets Regulation A+ Roundtable, October 20, 2015 at the OTCQX Market Center, 304 Hudson Street, New York, NY, including such topics as testing the waters, costs, free tradability of the shares, and the development of venture exchanges, onboarding to OTC and other mechanisms to establish liquidity.
Read MoreFINLAW: FINRA proposes rule changes to regulate Title III Funding Portals
- By: admin
- Oct 13
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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
- By: admin
- Oct 12
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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
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