Posts Tagged ‘ broker dealers and crowdfunding ’

FINRA’s Latest Proposed Funding Portal Rules and Fees “charts”

FINRA’s Latest Proposed Funding Portal Rules and Fees “charts”

By Lauren Leibowitz, CrowdFundBeat Guest Contributor, Principal at 1st BridgeHouse Securities, LLC, On October 9, 2015, 2 years after FINRA first published its proposed Funding Portals rules , FINRA published the amended proposed Funding Portal Rules to the Securities and Exchange Commission (SEC). The following are FINRA’s proposed rule submissions:         1. SR-FINRA-2015-040 a. Adopt Funding Portal Rules 100,110,200, 300, 800,900 and 1200 and related forms. b. Adopt FINRA rule 4518: Notification to FINRA in Connection with the JOBS Act. 2. SR-FINRA-2015-041: Adopt Section 15 of Schedule A to the FINRA By-Laws governing fees for funding portals that are FINRA Members. In April 2012, when…

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The Many Definitions of “Crowdfunding”

By Fred Bryant, President, WealthForge It was 2010 and I had just received a question from a regulatory body: What is crowdfunding? While I have since answered this question dozens of times, crowdfunding as a term has been used by a variety of groups who have defined it in different ways, creating confusion about what exactly it is. To be clear, there are, in fact, many different flavors of crowdfunding. The three most common are donation-based, presale of a product, and securities or “equity” crowdfunding. All three have one thing in common: some sort of monetary exchange where one entity looks to source capital directly from…

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Broker-Dealers and Crowdfunding

By Mark Roderick , CrowdFunding Beat Guest Contributor,  The most challenging legal question in Title II Crowdfunding is who is required to be a broker-dealer and under what circumstances. The question is most acute for the officers of an issuer, those who direct the issuer’s activities and put the offerings together. Section 3(a)(4)(A) of the Securities and Exchange Act 1934 generally defines “broker” to mean “any person engaged in the business of effecting transactions in securities for others.” Section 15(a)(1) of the Exchange Act makes it illegal for any “broker. . . .to effect any transactions in, or to induce or attempt to induce the purchase or sale…

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HEADLINE NEWS

More Indiana teachers turn to crowdfunding to purchase classroom supplies  FOX 59 IndianapolisINDIANAPOLIS, Ind. - The average teacher spends more than $400 of their own money each year on school supplies. That's why more and more teachers are ... [...]

Crowdfunding your Product on Kickstarter or Indigogo: The Pros and Cons  China Law BlogThe Quality Inspection Blog did a really good post, entitled Pros and Cons of Crowdfunding (Kickstarter/Indiegogo) for Startups, explaining (yeah, you. [...]

PieShell, a Crowdfunding Platform for Food Innovation, is Shutting Down  The SpoonFood crowdfunding site PieShell is shutting down. The news was shared publicly today by company CEO and founder Cheryl Clements via an open letter on ... [...]

Iran bans non-official crowdfunding appeals after deadly flash floods  Euronews EnglishAuthorities said on Monday that they have closed 60 crowdfunding campaigns, mostly set up by celebrities, and that donations can only be made through official ... [...]

misterb&b hits the equity crowdfunding trail to expand into hotels  TechCrunchHomosexuality is illegal in a third of the counties on this planet; in eight countries it is punishable by death. In the febrile atmosphere of today's politics, ... [...]

Only 2 days remaining for CHUWI AeroBook crowdfunding campaign  Gizchina.comCHUWI's laptops are always bringing to the table extreme price/performance ratio and the new CHUWI AeroBook is no different. [...]

Game studio behind ‘Myst’ launches crowdfunding campaign for VR-enabled adventure ‘Firmament’  GeekWireCyan, the Spokane, Wash-based studio behind the Myst franchise and its spiritual successor, Obduction, began a new crowdfunding campaign today for their ... [...]

PrepayWay – A Swiss FinTech Holding Announces Start of Equity Crowdfunding Campaign  NullTXMarch 21st, 2019, Switzerland – People from different parts of the globe have an opportunity to contribute to the equity of the Swiss-Estonian startup using ... [...]

LEGO’s first crowdfunding experiment: FORMA 81000 Koi Model Super Box [Review]  The Brothers BrickLEGO FORMA is the company's first foray into crowdfunding. It is described as an “experience designed for adults looking for a fun and engaging way to ... [...]

OddFellows Kicks off Equity Crowdfunding Campaign - Restaurant News  QSR magazineIn keeping with their humorous and nostalgic positioning, in tandem with the campaign OddFellows has launched a cheeky hotline of 1-866-4ICE-CREAM. [...]

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