Posts Tagged ‘ finra ’

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…

Read more »

Jobs-act Title III on the Horizon, FINRA Releases Proposed Funding Portal Rules

By Jonathan B. Wilson CrowdFundBeat Sr. Guest Editor, Partner, Taylor English Duma LLP  On October 12, 2015, Financial Industry Regulatory Authority, Inc. (“FINRA”) announced that it would file with the Securities and Exchange Commission (“SEC”) a proposed rule change to adopt Funding Portal Rules 100, 110, 200, 300, 800,900 and 1200 (collectively, the “Funding Portal Rules”) and related forms.  In addition, FINRA proposed to adopt new FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act) in the FINRA rulebook. The proposed rules are part of FINRA’s effort to implement the crowdfunding provisions of Title III of the Jumpstart Our Business Startups Act (“JOBS…

Read more »

FINRA Issues Regulation A+ Filing Guidance

By David Feldman  Partner at Duane Morris LLP As we still await the first completed Tier II Regulation A public offering, and rumors are swirling that several are getting close, the Financial Industry Regulatory Authority (FINRA), which regulates broker-dealers, has confirmed what most already know. In a release a few weeks ago, they clarified that Regulation A+ offerings are no different than other public offerings. Namely, if FINRA members are involved in the offering, then filings must be made with FINRA and they have to reach a point of no objection to the compensation to be paid to the FINRA member. As the time to get this…

Read more »

Ready to file your Regulation A+ offering? Don’t Forget about FINRA Rule 5110

Ready to file your Regulation A+ offering? Don’t Forget about FINRA Rule 5110

By Scott Andersen, CrowdfundBeat Guest Contributor, Principal at finLawyer.com 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 information with FINRA as required by Rule 5110. FINRA oversees all broker-dealers (FINRA member firms), and Rule 5110 enables FINRA to regulate compensation paid to member firms and their associated persons who participate in public offerings. The filing generally is required to…

Read more »

North Capital Investment Technology Closes $1 Million Seed Funding Round

North Capital Investment Technology Closes $1 Million Seed Funding Round

CrowdFunding Beat News Wire,    North Capital Investment Technology Closes $1 Million Seed Funding Round SALT LAKE CITY– North Capital Investment Technology has closed its seed funding round of $1 million, attracting support from major institutional investors including JFO, Karlani Capital and Green Visor Capital. The funding enables the San Francisco-based private placement technology company to continue technology innovation, roll out proprietary funding platforms and hire staff to support its growing broker-dealer, North Capital Private Securities Corporation (NCPS). Green Visor Capital General Partner Michael Walsh said the private securities markets are in the early stages of a period of unprecedented change. General solicitation and crowdfunding will drive transparency and broader distribution, leading to a deeper and more liquid secondary…

Read more »

FINRA Board To Consider Proposals for Crowdfunding Portal Rules on July 11th

FINRA Board To Consider Proposals for Crowdfunding Portal Rules on July 11th

The Financial Industry Regulatory Authority Board of Governors will consider a proposal on July 11, 2013 to solicit comment via Regulatory Notice on proposed rules and related forms governing funding portals pursuant to Title III of the JOBS Act. After the July 11 meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any. Proposal Below: Rulemaking Items for Discussion at the July 2013 Meeting The FINRA Board of Governors will consider the following rulemaking items at its July 2013 meeting. After the July 11 meeting, FINRA will notify firms via email about the Board’s actions…

Read more »

HEADLINE NEWS

This RSS feed URL is deprecated, please update. New URLs can be found in the footers at https://news.google.com/news [...]

NPRAfter Outcry, Crowdfunding Site Patreon Backs Off Plan To Raise FeesNPRThe popular crowdfunding service Patreon has backed off plans to change its payment structure, after widespread, vocal and passionate opposition from creators and their fans. Last week, the site announced it wou [...]

TechCrunchHow hate speech crowdfunding outfit Hatreon crept back online ...TechCrunchIf you want to make a living creating white supremacist content, you're probably not going to do it via sites like Kickstarter and Patreon, which prohibit hate speech. Fortunately there's Ha [...]

CoinDeskKickstarter ICO? Don't Count On It Says Crowdfunding Leader ...CoinDeskThe company most widely associated with crowdfunding, Brooklyn-based Kickstarter, has no plans to get into the initial coin offering (ICO) business. Coming in response to the news yesterday that compet [...]

HuffPostIs Crowdfunding Really a Good Idea for Innovation?HuffPostHere's a head-scratcher for you: according to new research, if you refer to your product or idea as both “novel” and “useful” in your crowdfunding campaign, your funding will be lower than it would if you just decl [...]

Coindesk (press release) (blog)Crowdfunding Giant Indiegogo Opens to ICOs - CoinDeskCoindesk (press release) (blog)The startup revealed today that, through an existing partnership with MicroVentures, it will begin offering services to projects seek to use the blockchain funding model. [...]

ForbesCrowdfunding Do's And Dont's From iFundWomen's Karen CahnForbesDuring our conversation, she was transparent in sharing that her first software company, VProud, failed because she “did everything backwards” and spent too much time trying to perfect the product. “Pe [...]

FortuneWant to Hold Your Own ICO? Indiegogo Can Help You With ThatFortuneCrowdfunding sites like Kickstarter (kickstarter, +0.00%) and Indiegogo raised start-up cash for a generation of online entrepreneurs, but one increasingly visible method of internet-sourced financing seemed to h [...]

TechCrunchFormer Gawker employees are crowdfunding an effort to buy Gawker.comTechCrunchWhile Univision acquired most of Gawker Media's sites last year (and renamed them as the Gizmodo Media Group), the deal didn't include Gawker itself. In fact, BuzzFeed reported last month [...]

Boing BoingGawker alumni are crowdfunding to outbid Peter Thiel for control of ...Boing BoingGawker was bankrupted by Peter Thiel, who secretly backed Hulk Hogan's lawsuit against the network of news, entertainment and gossip sites in an act of petty revenge. Now, Gawker's a [...]

CFB Finance

Marketwired

  • Crowdfunding
  • Crowdfund
  • Peer to Peer Lending
  • FinTech
  • Reg A+
  • Reg CF
  • Crowdfunding USA

Press Release

Live Crowdfunding .tv

What's Next Step in Regulation A+ JOBS ACTS Title IIII :L Interview : Steve Cinelli with Brian Korn Securities and Crowdfunding/Peer-to-Peer Lending Lawyer, Watch more video library | Conference | Interview | Campaign Showcase | Research | Education |