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                  • Remove Funding Portals filter Funding Portals
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                  • September 28, 2018

                    SEC Offers Guidance on Regulation Crowdfunding

                    In a new set of FAQs issued by staff, the SEC Division of Trading and Markets provided guidance for intermediaries offering services under Regulation Crowdfunding.
                  • March 24, 2017

                    NASAA President Mike Rothman Testifies on the Impact of the JOBS Act and Reg A+

                    North American Securities Administrators Association President Mike Rothman testified before the House Committee on Financial Services on the impact of the JOBS Act on U.S. capital markets.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • March 01, 2017

                    SEC Acting Chair Piwowar and Commissioner Stein Face Off on Regulation Crowdfunding

                    The SEC Division of Economic and Risk Analysis and the NYU Salomon Center for the Study of Financial Institutions hosted a "dialogue" on Regulation Crowdfunding.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • February 21, 2017

                    SEC and NYU to Host Crowdfunding Dialogue

                    The SEC Division of Economic and Risk Analysis and the NYU Salomon Center for the Study of Financial Institutions will host a "dialogue" to examine the effects of Regulation Crowdfunding on U.S. securities-based crowdfunding.
                  • July 06, 2016

                    House Passes Three Financial Services Bills

                    The House passed three financial services bills concerning: (i) angel investors, (ii) retail investor participation in crowdfunding, and (iii) the prevention of financial abuse of senior citizens.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • April 04, 2016

                    FiNCEN Solicits Comment on Proposals to Include Crowdfunding Portals in the Broker-Dealer Definitions under the Bank Secrecy Act (Fed. Reg.)

                    The Financial Crimes Enforcement Network requested comment on proposed amendments to the definitions of "broker or dealer in securities" and "broker-dealer" under Bank Secrecy Act regulations. The proposed definitions would include funding portals that are involved in the offering or selling of crowdfunding securities.
                  • January 29, 2016

                    FINRA Issues Notices Describing Fund Portal Rules (FINRA Reg. Notices 16-06 and 16-07)

                    FINRA issued two regulatory notices regarding its Funding Portal Rules; the notices provide background as to why the rules were adopted and guidance as to how to comply.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • January 28, 2016

                    FINRA Requests Comments on Proposed Funding Portal Rules (Fed. Reg.)

                    FINRA solicited comments on fund portal rules that were revised by Amendment No. 1.

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