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    Proposed Rules Governing Regulation Crowdfunding
    Proposed Rules Governing Regulation Crowdfunding
    Proposed Rules Governing Regulation Crowdfunding
    Ebook45 pages29 minutes

    Proposed Rules Governing Regulation Crowdfunding

    By Private Placement Handbook Series

    ()

    Read preview

    About this ebook

    The JOBS Act has changed the financial landscape. Title II is for deals for less than $1 million. The SEC is still struggling with final rules.

    LanguageEnglish
    PublisherPrivate Placement Handbook Series
    Release dateAug 29, 2014
    ISBN9781311441140
    Proposed Rules Governing Regulation Crowdfunding
    Author

    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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      Book preview

      Proposed Rules Governing Regulation Crowdfunding - Private Placement Handbook Series

      PROPOSED RULES GOVERNING REGULATION CROWDFUNDING

      Raising money in the time frame between friends and family and VCs

      Editor: Douglas Slain

      ~~~

      Smashwords Edition

      In September 2013 the SEC made the most significant change to Federal securities law in the last 80 years.

      Learn how start-ups and small businesses can now use general solicitation to raise money online.

      Private Placement Publications, Inc.

      239 Teton Court

      San Rafael, CA 94903

      © Copyright 2014 Private Placements Publications, Inc.

      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

      1 Proposed Rules Governing Intermediaries

      2 Proposed Rules Governing Capital Raises and the Integration Doctrine

      3 Proposed Rules Governing Issuer Disclosures Non-Financial Disclosure Requirements

      4 Proposed Rules Governing Reporting Requirements

      5 Proposed Rules Governing Issuer Advertising

      6 Proposed Rules Governing Re-Sales

      7 Proposed Rules Governing Disqualifications and Waivers

      8 Proposed Rules Governing Exemption from Section 12(g of the Exchange Act

      9 Proposed Rules Governing Statutory Liability of Portals

      10 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.

      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

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