Reg D

Washington D.C., May 3, 2022 — The Securities and Exchange Commission today announced the allocation of 20 additional positions to the unit responsible for protecting investors in crypto markets and from cyber-related threats. The newly renamed Crypto Assets and Cyber Unit (formerly known as the Cyber Unit) in the Division of Enforcement will grow to 50 dedicated positions. "The U.S....

Washington D.C. — The Securities and Exchange Commission will hold a virtual event on April 28 along with the North American Securities Administrators Association (NASAA) and the AARP to examine the latest challenges and issues affecting the senior investor community. The Older Investor Roundtable will include panel discussions geared toward older investors, consumer advocates, and financial professionals nationwide as topics...

Washington D.C. — The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 58 soliciting entities, 11 impersonators of genuine firms, and one bogus regulator. The SEC’s list of soliciting entities that have been the subject of investor complaints, known as the Public Alert: Unregistered...

The Securities and Exchange Commission proposed this week new Regulation SE under the Securities Exchange Act of 1934 (the Exchange Act) to create a regime for the registration and regulation of security-based swap execution facilities (SBSEFs). The new regulatory framework was one of the major reforms required under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection...

SEC Raises Threshold for Reg A+ Offerings to $75 Million On November 2, the Securities and Exchange Commission (SEC) approved amendments, originally proposed in the SEC’s June 2019 concept release and March 2020 proposing release, to its “patchwork” exempt offering framework. The amendments represent important changes for private and public companies that rely on private offerings as part of their strategies to raise capital....

Leads Inc. launches revolutionary lead generation and lead conversions technology. Since the official Leads rollout of this new technology they have seen impressive results for clients. Leads Inc. located in El Segundo, CA has recently partnered with Investor Media to deliver full investor awareness and investor marketing campaigns. “We felt that leadS Inc. and investor media was a match made in heaven” The...

Wall Street has a new obsession: special purpose acquisition companies (SPACs). SPACs are an alternative to the traditional way businesses raise money known as initial public offerings (IPOs). Since January 1, 2021 SPACs have raised over $88 billion, making up 83 percent of public offerings this year and raising more money than they did in all of 2020. As investment banks and professional investors celebrate this booming...

SEC’s Investment Rule Updates and Cannabis Fundraising Recently the SEC updated its rules to simplify the patchwork of regulations to help companies in fundraising mode. This matters to cannabis companies of all types, especially those that want to utilize the available federal exemptions in their securities offerings. In the SEC’s own words, “These amendments will promote capital formation and expand investment opportunities while...

Regulation D Explained: What Are Regulation D Offerings in Real Estate Crowdfunding? Real estate crowdfunding, or the practice of funding a real estate investing venture by raising a small amount of money from a large number of people, typically over the internet, has been gaining in popularity over recent years. To that end, investors who hope to use this method to get...

Reg CF is increasing from $1.07 million to $5 million. This change alone should see Regulation Crowdfunding investment exceed $1 billion in 2021 (up from around $250 million over the last 12 months). Founders will be able to “test the waters” (i.e. explore potential investor demand) before officially launching a Reg CF round and filing a Form C. Regulation Crowdfunding allows startup...