FinLaw: Ready to file your Regulation A+ offering? Don’t Forget about a Mandatory Filing Required by FINRA Rule 5110
If you are an issuer getting ready to raise funds by way of Regulation A+, and are planning to utilize any services of a broker-dealer, then filing your offering statement with the Securities and Exchange Commission (SEC) is not the only filing you need to make. You are also required to file specified documents and…
Read MoreFinLaw: How General Solicitation and Technology are Disrupting the Financial Services Industry Today
Over time, capital formation has dramatically changed for small companies. Even though Title III federal crowdfunding is not yet legal, the JOBS Act has significantly altered the landscape of small securities offerings, which are now being powered by the use of technology (websites as funding platforms) that use general solicitation to attract investors to a…
Read MoreSpeaker, Global Real Estate Crowdfunding and Regulation A+ ($50 million), NYC
Speaker at New York City conference, Global Real Estate Crowdfunding and Regulation A+ ($50 million), 575 Madison Ave., NYC on June 26, 2015
Read MoreSpeaker, Regulation A+: How to Raise $50 Million for Startups, New York, NY
Speaker on May 21, 2015 at Fundingpost.com and The Soho Loft Media Group equity crowdfunding conference, Regulation A+: How to Raise $50 Million for Startups, Penthouse, 18th Floor, 5 East 57th Street, New York, NY.
Read MorePresenter – FundAmerica Presents its SaaS Technology Solutions, Finovate San Jose, Spring 2015
Since 2007, Finovate conferences have showcased cutting-edge financial technology (fintech). On May, 13, 2015, FundAmerica Presenters Scott Purcell (Founder, CEO) and Scott Andersen (General Counsel) discussed FundAmerica's technology, software-as-a-service, and compliance solutions for the emerging crowdfunding industry before several hundred attendees in San Jose, California.
Read MoreFinlaw: Equity & Debt Crowdfunding: Where We Are Now and Where We Are Going Next
I receive inquiries at my law practice daily from people seeking to form equity & debt crowdfunding platforms. Since the JOBS Act was signed into law in April 2012, there has been a tremendous amount of excitement with crowdfunding. Interestingly, real estate funding platforms are leading the charge, even more so than platforms focused on…
Read MoreSpeaker: CrowdEngine Webinar Discussing Funding Platforms, May 8, 2015
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 a funding platform.
Read MoreSpeaker, FSX Interlinked 2015 Financial Investment Conference in Atlanta, Georgia
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/
Read MoreSpeaker, FINRA webinar: who are they and what do they do?
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.
Read MoreFinLaw: Serial issuers of securities need to comply with state blue sky Laws
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 Regulation A+ Tier 2 offering…
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