What To Know About The SEC Whistleblower Program


Because of this, the Securities and Exchange Commission has what is known as the SEC Whistleblower Program. For those who choose this option, the SEC Whistleblower Program’s guidelines are very specific regarding how information garnered from these sources is handled.

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SEC Enforcement


As we near the end of 2018, “the year of regulation”, it is fitting that the SEC has made moves in the past couple of weeks providing more action and clarity around its digital assets enforcement strategy. The post SEC Enforcement appeared first on The Barefoot VC.

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SEC Enforcement


As we near the end of 2018, “the year of regulation”, it is fitting that the SEC has made moves in the past couple of weeks providing more action and clarity around its digital assets enforcement strategy. The post SEC Enforcement appeared first on The Barefoot VC.

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SEC Fines and Libra Woes


This past week, two companies within the token ecosystem announced settlements with the SEC. The SEC has been pursuing enforcement action for the past couple of years in wake of the ICO boom and bust of 2017. The post SEC Fines and Libra Woes appeared first on The Barefoot VC.

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The Easiest Way to Bring Diversity to Venture Capital: Raise the SEC's LP Count Limit

This is going to be BIG.

Unfortunately, the way the Limited Partner landscape is setup and the nature of SEC rules, emerging managers are fundraising with their hands tied behind their back. Raising a venture capital fund is hard enough.

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The Proposed SEC Rules Undermine The Goal Of The JOBS Act

Feld Thoughts

A number of the provisions have been slow to get written into law and the SEC has missed their deadlines on a bunch of stuff, including the often talked about equity crowdfunding activity. Recently, the SEC weighed in on a number of the things they were required to with much fanfare. Fred Wilson wrote Let The Games Begin in response to the SEC lifting the General Solicitation Ban. “The SEC giveth (as mandated by Congress) and taketh away (by its own mandate).

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Using RSS To Track SEC Filings

Feld Thoughts

However, I don’t really care about the daily stock prices – instead, I’m focused on the actual SEC filings. I used to subscribe to several services for SEC filings (remember EDGAR Online and 10KWizard ) but let them lapse a while ago. My partner Jason suggested I just use the SEC website. Now, whenever a company I’m tracking files something with the SEC, it’ll show up the next morning in Google Reader. Tech I Use public companies rss sec

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SEC Releases Rules for Equity-based Crowdfunding


Legislation from the JOBS Act, signed into law by […] The post SEC Releases Rules for Equity-based Crowdfunding appeared first on SiliconHills. Austin San Antonio crowdfunding equity-based crowdfunding JOBS Act rules SEC Securities and Exchange Commission startups Title III Early next year, startups may be able to raise money from the general public to finance their ventures.

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SEC Adopts New Equity-based Crowdfunding Rules


The difference is up until the change, only so-called accredited investors, high net worth individuals, could […] The post SEC Adopts New Equity-based Crowdfunding Rules appeared first on SiliconHills. The U.S. Securities and Exchange Commission approved new crowdfunding rules last Friday allowing companies to raise money from anyone. The new rules allow companies to offer up to $1 million a year in securities through online equity-based crowdfunding portals.

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How The SEC Is Violating My Wife’s First Amendment Rights

Feld Thoughts

So, if I contribute $1,000 to the campaign of the Colorado state treasurer, I violate this SEC rule and become someone who is “paying to play.&# The NVCA has also studied the new SEC rule and has come to the same conclusion: “This ruling is consistent with guidance the NVCA has been providing members. Tags: Politics first amendment pay to play sec Venture Capital Over the past 24 months, a deplorable activity in the money management business came to light.

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U.S. Air Force Sec. Wilson Launches AFWERX Innovation Lab at Capital Factory


Air Force Sec. By LAURA LOREK Publisher of Silicon Hills News The U.S Air Force Secretary Heather Wilson officially launched AFWERX, an innovation lab, at Capital Factory on Wednesday. AFWERX is like the skunkworks of the Air Force.

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Curator: Retail Truths, Twitter SEC Cash Grab, Strong Team Drawbacks, Holiday Social Media

YFS Magazine

Here’s our weekly link roundup of small business buzz, musings and muchness. A curation of the best small business talk around the web. News curator small business news

Fresh from the SEC: Magic Raises approximately $25 million in Recent Filings

VC Cafe

million in a private placement transaction in December and an additional $3,7 million in option sales according to a recent SEC D filing. million in a private placement transaction in December and an additional $3,7 million in option sales according to a recent SEC D filing.

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The 99: How the SEC protects you from venture capital returns.

This is going to be BIG.

The SEC, in an effort to "protect the little guy" has all sorts of regulations. I don''t need to remind you of the widening gap between the rich and the poor, but if I were to be more accurate, I''d say it''s the widening gap between the mega rich and everyone else. When you''ve already got tens and hundreds of millions of dollars, a whole world of moneymaking opportunities are available to you that the rest of the world can''t access. Take venture capital, for example.

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Raising Capital to Get Easier – SEC Crowdfunding Proposal

Business Plan Blog

SEC Crowdfunding Proposal. In September of this year, the SEC voted to overturn the ban on “general solicitation” that made it illegal for companies to publicly advertise that they are raising capital. On October 23rd, the SEC unanimously voted on a proposal that makes it even easier for small business to raise capital from a wider range of potential investors while providing additional investment opportunities for investors.

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[Infographic] What The SEC Announcement Means For Startups And Entrepreneurs


'July 10th, 2013 marked a monumental day for many startups across the United States – the US Securities and and Exchange Commission (SEC) announced that the ban on general solicitation has been removed for small businesses seeking startup capital , allowing for sweeping changes in the way businesses find funding. With general solicitation now permitted, startups have the opportunity raise money from a wider range of investors and sources – potentially accelerating their funding and increasing their chances of business success. Here’s an infographic from the folks at Fundable.com that shows what the changes to come as a result of that lifting of the ban can mean for startups and entrepreneurs seeking funding: In the News entrepreneurs Fundable.com Funding general solicitation raising money SEC startups US Securities and and Exchange Commission'

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SEC Defines Venture Capital

Venture Chronicles

The SEC fulfilled their obligation under the Frank-Dodd financial reform bill and defined what venture capital is. Represents itself to investors as being a venture capital fund. Only invests in equity securities of private operating companies to provide primarily operating or business expansion capital (not to buy out other investors), U.S. Treasury securities with a remaining maturity of 60 days or less, or cash.

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After Raising $6.7M For Startups And Winning SEC Approval, AngelList Opens Up Investment Platform To More Companies


For Startups And Winning SEC Approval, AngelList Opens Up Investment Platform To More Companies. And just a few weeks ago, the SEC gave the investment platform the greenlight under its regulations. Startups. Mobile. Gadgets. Europe. Video. Enterprise. Venture. Social. GreenTech. Gaming.

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AngelList Syndicate Update – Week 1

Feld Thoughts

Yeah – the problems are obscure ones generated by our government, and there are moments where it seems like the SEC simply doesn’t want any of this to actually work. Angel Investing angelist crowdfunding fg angel sec syndicates

Why Twitter’s Confidential S-1 Filing Is A Good Thing

Feld Thoughts

We’ve confidentially submitted an S-1 to the SEC for a planned IPO. Anyone who has been through taking a company public knows that there are numerous steps between the first S-1 filing with the SEC and the final filling where the SEC says “ok – you are ready to go public now.” When a company has this cleared by the SEC, it is ready to go public. If the SEC was slow because they had a backlog, it would take longer.

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The Logical Evolution of Private Markets: A new class of company.

K9 Ventures

6) SEC oversight and regulation : The distinction between public companies and private companies has been very binary so far. Opinion VC Venture Capital IPOs Private Markets privately-traded companies public markets SEC Secondary Makets

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What’s Libra? China Takes the Stage


Blockchain Cryptocurrency Fintech Binance china cryptocurrency Facebook regulations SEC

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The Stage is Being Set


In his fireside chat with Silver Lake co-founder Glenn Hutchins, SEC Chairman Jay Clayton started his remarks talking about the promise of distributed ledger technology (aka blockchain). Blockchain Cryptocurrency ICO cryptocurrency Exchanges SEC

Announce Your Financing In Conjunction With Your Form D Filing

Feld Thoughts

When you do a financing, you file something called a Form D with the SEC. But it’s meaningless – “Joe’s Company Raised $X From Investors A, B, and C according to a filing with the SEC.” Financing form d pr secI’ve always had mixed feelings about the importance of a company announcing a financing in the absence of any other activity. “Dear World: We Just Raised $X From Investors A, B, and C.” ” Ok, but so what?

FinCEN Weighs In


From my view, it also delineates regulatory authority between FinCEN and the SEC in the US. While the SEC has not provided guidance on “utility tokens” my read is that they are captured in the FinCEN document. Greetings from the very beginning of NYC Blockchain Week.

House Passes Crowdfunding Bill: FAQ’s for Entrepreneurs

Scott Edward Walker

The White House supports the bill, so upon reconciliation, it will be signed into law, whereupon the SEC will be required to promulgate applicable rules within 90 days. Last week, the U.S.

Raising Capital? 3 Tips for Entrepreneurs (Part 3)

Scott Edward Walker

Securities and Exchange Commission (SEC) and, accordingly, many entrepreneurs get trapped in the SEC’s wide net. Note: Congress and the SEC are currently weighing a crowdfunding exemption which may permit “general solicitations” in certain limited circumstances.)

Goldman Sachs / SEC: political witch-hunting is no way to change a market

Fred Destin

I suppose the SEC is under intense pressure to deliver some scalps, and that going after the unapologetic and sometimes arrogant leader of the investment banking world delivered the biggest bang for the buck.

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Raising Capital? 3 Tips for Entrepreneurs

Scott Edward Walker

As a general rule, a company may not offer or sell its securities unless (i) the securities have been registered with the Securities and Exchange Commission (SEC) and registered/qualified with applicable state commissions; or (ii) there is an applicable exemption from registration.

The SEC’s Colossal Failure of Oversight– Isn’t This a Violation of the Business Judgment Rule?

Pascal's View

The damning New York Times headline, “ SEC CONCEDES OVERSIGHT FLAWS FUELED COLLAPSE ,” from a September 26th article by Stephen Labaton, will hopefully end up as more than a footnote in the long list of misdeeds by the ’stewards’ of the American economy that have brought American capitalism to the precipice of systemic financial collapse. ” The article goes on to state: The report found that the S.E.C.

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Crowdfunding Bill Stuck in the Senate

Scott Edward Walker

Crowdfunding broker-dealer crowdfunding crowdfunding bill crowdfunding intermediary funding portal general solicitation Jack Herstein Kickstarter NASAA Rockethub SEC Senator Merkley Senator Scott Brown Steve CaseIn early November, the U.S.

Walker Twitter Highlights: July 1st – 14th

Scott Edward Walker

SEC Adopts JOBS Act Rule Eliminating Ban on General Solicitations…(via Debevoise) – good news for startups [link]. Twitter Highlights First Round general solicitation InDinero JOBS Act SEC startups Steve Blank twitter venture capital venture capitalists

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Frameworks Round 2


8 threads and 256 connections Thread Stats Avg Stdev Max +/- Stdev Latency 10.07ms 7.80ms 73.59ms 77.37% Req/Sec 2.99k 1.07k 8.00k 88.42% 100002 requests in 3.68s, 59.89MB read Requests/sec: 27202.70 Transfer/sec: 16.29MB.

Walker Twitter Highlights: July 29th – August 11th

Scott Edward Walker

Solid tables and FAQs regarding the SEC’s new Reg D Rules: hvrd.me/14BHlgI. Twitter Highlights Mike Hirshland party rounds Paul Graham Reg D SEC seed rounds startups fail

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Is the House Crowdfunding Bill Being Killed in the Senate?

Scott Edward Walker

Crowdfunding broker-dealer crowdfunding facebook general solicitation house crowdfunding bill Jason Calacanis Kickstarter Rockethub SEC securities commission securities laws startup twitter“The Senate is the place where bills go to die.” – Bill Maher On November 3, 2011, the U.S.

Crypto Chess Continues


This move came on the heels of Japan reaching out to the Binance with a warning for operating without a license there, and Hong Kong regulator Securities and Future Commission (SFC) warning crypto exchanges not to trade digital assets defined as securities (similar to the US SEC’s warning to unlicensed exchanges earlier this month). Bitcoin Blockchain Cryptocurrency Fintech blockchain cryptocurrency Exchanges fintech regulations SEC

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The Internet Makes DC Closer To Homer

Feld Thoughts

Tags: Patents sec Startup Visa

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Workday: A billion+ in savings and counting

deal architect

Workday has filed its S-1 with the SEC as part of its IPO process. For the 37 months ending January 31, 2012, total revenues were $ 227 million, accelerating year on year, so let’s round off to lifetime revenues of. Cloud Computing, SaaS

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Is it legal to have a crowd-funding site that gives equity as reward?


In the United States, equity-based crowdfunding will not be legal until January, 2013 at the earliest, when the SEC issues its rules regarding the process. It will then be permitted, provided that it is done in strict compliance with those SEC rules, and the provisions of the JOBS Act, which was signed by President Obama earlier this year.

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Walker Twitter Highlights: April 16th – 22nd

Scott Edward Walker

Twitter Highlights convertible note convertible note seed financings David Hornik JOBS Act Peter Theil SEC seed seed financing startups TechCrunch vcI’m using Twitter as a form of micro-blogging to share interesting blog posts, articles and podcasts relating to entrepreneurship and startups, M&A and legal issues. Below are my five most popular tweets (via bit.ly ) for the past week and a few blog-related tweets.

Walker Twitter Highlights: December 19th – January 1st

Scott Edward Walker

rJgnV1 The SEC’s final rule re NET WORTH STANDARD FOR ACCREDITED INVESTORS and the exclusion of primary residence’s value: 1.usa.gov/tcGLpX Learn to Code: A Non-technical Co-founder’s Guide (via @kathrynhough ) bit.ly/tLRCpR Twitter Highlights accredited investor entrepreneurs groupon Marc Andreessen quora raising capital Sean Parker SEC

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10 Realities Today Cause Startups To Bypass An IPO

Startup Professionals Musings

Startups are typically run by a couple of executives who are reluctant to disclose via the prospectus and SEC reports all the decision-making criteria, operational financial details, and compensation formulas.

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Startups, Please, Don’t Break These Laws.

Up and Running

Or you can talk to accredited investors , as defined by the the Securities and Exchange Commission (SEC). Tags: startup advice startup financing startup mistakes accredited investors criminal financials fraud prison SEC