FinLaw: Five Key Take-Aways from FINRA’s Expulsion of Crowdfunding Portal UFP
- By: admin
- Dec 28
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See article in Crowdfundinsider.com, at the link below: http://www.crowdfundinsider.com/2016/12/94083-five-key-take-aways-finras-expulsion-crowdfunding-portal-ufp/
Read MoreFinLaw: What are the Top Regulatory Mistakes Being Made Today by Issuers and Funding Platforms?
- By: admin
- Aug 11
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By Scott Andersen and George S. Georgiades General solicitation is growing for securities offerings conducted under Rule 506(c) and Reg A+ Tier II. A more limited form of general solicitation is also available to issuers participating in offerings pursuant to Title III of the JOBS Act (Crowdfunding). Issuers may use a variety of newly available
Read MoreFinLaw: Who will buy your company’s stock?
- By: admin
- Jul 3
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There is a maxim used by securities professionals that “stocks are sold, not bought.” This maxim summarizes the view that for a securities offering to be successful, it needs a broker-dealer to solicit and recommend the offering to prospective investors. Now with the JOBS Act and companies selling securities directly to investors through general solicitation
Read MoreWhy Bad Actor Checks Generally Do Not Need to be Performed on Your Own Investors
- By: admin
- Apr 25
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Scott Andersen and Jor Law | Monday, 25 April 2016 10:07 (EST) (appearing in Equities.com) The Jumpstart Our Business Startups Act (JOBS Act) revolutionized the capital markets and gave companies tools to raise capital more easily than ever before. However, with the new found tools for capital raising came along the burden of compliance. As
Read MoreFINLAW: Time to Apply to Become a FINRA Funding Portal
- By: admin
- Feb 5
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The SEC has approved FINRA Funding Portal Rules, and FINRA has issued on January 29, 2016 Regulatory Notice 16-06. This regulatory notice outlines the process one needs to undertake to become a Title III Funding Portal member. If you wish to participate in a Title III business, now is the time to file your Funding
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