Tagged: securities and exchange comission

SEC Creates Capital Raising Navigator Tool

The Securities and Exchange Commission (SEC), Office of the Advocate for Small Business Capital Formation, has announced the creation of a capital raising navigator tool for firms seeking growth capital. A part of the SEC’s website, the tool covers the spectrum of options for entrepreneurs… Read More

SEC Small Business Capital Formation Advisory Committee Schedules Meeting for May 8th

The Securities and Exchange Commission (SEC) Small Business Capital Formation Advisory Committee has scheduled a video conference to discuss proposals designed to improve the exempt securities ecosystem as well as the impact of the COVID-19 pandemic on small businesses. The meeting, which is open to… Read More

Sara Hanks Comments on SEC Concept Release, Defends Reg A+, Advocates on Behalf of Companies in Need of Growth Capital

Last week, a meeting of the Securities and Exchange Commission (SEC) Investor Advisory Committee (IAC) held a meeting. On the agenda was the topic of the SEC’s concept release on regulatory harmonization. The concept release was initiated in recognition of the current ecosystem of private… Read More

SEC Issues Investor Alert: Cautions on Issuers that Claim SEC has “Approved Offerings” such as ICOs

We have seen this one a lot. Issuers file a Form D with the Securities and Exchange Commission (SEC) and once it pops up on Edgar (the SEC’s document database) the entity or individual claims it has been “approved” by the SEC. That’s a bunch… Read More

SEC Schedules Open Meeting to Consider Multiple Rule Changes

The Securities and Exchange Commission (SEC) has scheduled an open meeting where the Commission will consider the adoption of multiple rule changes. The Commission is considering the adoption of the following issues: whether to adopt amendments to the definition of “smaller reporting company” and other… Read More

Fintech Acquisition Corp. II Reveals Pricing For IPO to Raise to $153 Million

Money Benjamin Dollars 100

FinTech Acquisition Corp. II, a blank-check company that acquires or merges with one or more businesses or entities in the fintech industry, announced the pricing of its initial public offering of 15.3 million units at a price of $10 per unit, for gross proceeds to the… Read More

Med-X Files Reg D as Reg A+ Offer Unrolls

Med-X – a medical Cannabis startup,  listed a Regulation A+ offer on StartEngine back in December of 2015. The securities offer was promoted as the “first ever” equity crowdfunding campaign for the Marijuana industry. Med-X registered $3.7 million in non-binding investor interest by February but… Read More

Regulation A+ : A Practical Perspective

By now, the startup world has heard the news. Finance blogs are ablaze, and twitter feeds are lighting up with word that capital just became a whole lot easier to access. Entrepreneurs from coast to coast are leaning back in their chairs, greedily steepling their… Read More

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