Tag Archives: compliance

“iDisclose” – Breaking Today’s Archaic Securities Disclosure Process

Posted on October 2, 2015 by

The process of drafting a full-blown “Private Placement Memorandum” (or similar securities disclosure document) has always been a very time consuming, and frankly overly expensive, process for several reasons. The primary reason is of course that the legal industry has … Continue reading →

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SEC Issues Cease and Desist Order To “EB-5” Investment Companies For Acting As Unregistered Broker-Dealers – Why It Matters To The Crowdfunding Industry

Posted on July 7, 2015 by

Last week the U.S. Securities and Exchange Commission (SEC) issued  a Cease and Desist Order (the “Order”) against two related companies for acting as unregistered broker-dealers in connection with the sale of securities under the “EB-5” Investor Program (also sometimes … Continue reading →

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CHANGES TO “ACCREDITED INVESTOR” DEFINITION MAY CLIP THE WINGS OF MANY ANGEL INVESTORS

Posted on June 17, 2014 by

Few words or phrases have the ability to affect the U.S. economy like the term “accredited investor.” Whether you know it or not, these two little words control nearly $1 trillion of private investment in the United Stated today.  The … Continue reading →

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4 QUESTIONS, 1 ANSWER … CONSULT YOUR ATTORNEY!

Posted on May 30, 2014 by

The Annual Compliance Week conference was held in Washington, D.C. last week and the keynote speaker was Andrew Ceresney, Director of the Division of Enforcement at the Securities and Exchange Commission (SEC).  For those that do not know, the Compliance … Continue reading →

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