Crowdfunding Law
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About this ebook
State filings usually limit the amount raised to $1 million in a one-year period. In addition, there are a number of Federal options, such as Rule 506(b and Rule 506(c, Reg A+ and 504/SCOR offerings, where you can raise up to $50 million.
Private Placement Handbook Series
After getting a JD from Stanford Law School, a MA from the University of Chicago, a diploma from the University College London, and working as a reporter for The Wall Street Journal, Doug was a member of the California bar for 40 years, during which time he founded a series of law reporting services now owned by Thomson-Reuters. Doug specializes in debt and equity crowdfunding. He helps small business identify and solicit sources of private equity. Doug monitors a LinkedIn discussion group, State Securities Regulation, with 1500 members. Connect with Douglas Slain: LinkedIn: http://linkedin.com/in/douglasslain Facebook: http://facebook.com/douglas.slain Twitter: https://twitter.com/exemptofferings Blog: http://www.privateplacementadvisors.com/apps/blog Web site: http://privateplacementadvisors.com
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Crowdfunding Law - Private Placement Handbook Series
Crowdfunding Law
Private Placement Publications, Inc.
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Smashwords Edition
Copyright © 2014 Private Placements Publications, Inc.
Private Placement Publications, Inc.
239 Teton Court
San Rafael, CA 94903
Smashwords Edition, License Notes
This ebook is licensed for your personal enjoyment only. This ebook may not be re-sold or given away to other people. If you would like to share this book with another person, please purchase an additional copy for each recipient. If you’re reading this book and did not purchase it, or it was not purchased for your use only, then please return to Smashwords.com and purchase your own copy. Thank you for respecting the hard work of this author.
Table of Contents
Introduction and background
Chapter One: Proposed Rules Governing Intermediaries
Chapter Two: Proposed Rules Governing Capital Raises and the Integration Doctrine
Chapter Three: Proposed Rules Governing Issuer Disclosures Non-Financial Disclosure Requirements
Chapter Four: Proposed Rules Governing Reporting Requirements
Chapter Five: Proposed Rules Governing Issuer Advertising
Chapter Six: Proposed Rules Governing Re-Sales
Chapter Seven: Proposed Rules Governing Disqualifications and Waivers
Chapter Eight: Proposed Rules Governing Exemption from Section 12(g of the Exchange Act
Chapter Nine: Proposed Rules Governing Statutory Liability of Portals
Chapter Ten: Highlights of Comments on Proposed Rules Regarding Financial Statements
About the Editor
Introduction and background
Title III of the JOBS Act added Section 4(6) to the Securities Act to provide an exemption from the registration provisions of the Securities Act for crowdfunding transactions involving the offering of securities, and added Section 4A to the Securities Act to set forth the requirements for issuers and intermediaries, liability provisions, and certain other matters relating to crowdfunding. In addition, Title III amended various provisions of the Exchange Act in connection with the crowdfunding provisions. This monthly law reporter will summarize new rules, regulations and commentary.
The JOBS Act requires the Commission to adopt a number of rules implementing crowdfunding, including the following:
1. Rules to carry out Section 4(6) and Section 4A of the Securities Act, pursuant to Section 302(c) of the JOBS Act;
2. Rules to provide for disqualifications of issuers, brokers or funding portals pursuant to Section 302(d) of the JOBS Act;
3. Rules to exempt, conditionally or unconditionally, the requirement for a registered funding portal to register as a broker or dealer under Section 15(a)(1) of the Exchange Act, pursuant to Section 304(a) of the JOBS Act; and U.S. Securities and Exchange Commission;
4. Rules to exempt, conditionally or unconditionally, securities acquired in crowdfunding transactions from the scope of Section 12(g) of the Exchange