Securities and Exchange Commission provides certain limited exceptions to allow individuals to invest in non-public companies. Part of the challenge is the enormous amount of ignorance surrounding this suddenly hot topic. There are thousands of companies that “the crowd” can fund without restriction, including Apple, Google and Facebook. MORE
The Securities and Exchange Commission is investigating discrepancies in share prices of unicorns. Here's why that affects any startup looking to raise investment funding MORE
Phunware, a mobile marketing platform for brands, Monday filed papers with the Securities and Exchange Commission to raise up to $49.9 million. The Austin-based company, founded in 2009, has previously raised $47.7 million in five rounds of funding, according to its Angellist profile. In June of 2014, Phunware raised $30.7 million in Series E funding. […] The post Phunware Raises $19.3 Million of $49.9 Million VC Offering appeared first on SiliconHills. Austin MORE
Securities and Exchange Commission gets around to writing and releasing the rules for this program (aaaaaaaaaaaaany day now), you will be able to go online to one of many new ‘crowd funding portals’, where startups looking for equity investments will list themselves (similar to the way project crowd funding sites like Kickstarter work today.) The first question you need to ask is “What country are you in?” MORE
million offering from 43 investors, according to papers filed with the Securities and Exchange Commission. Silicon Hills News did this profile of […] The post Localeur Secures $4.2 Localeur, a travel recommendation service aimed at millennials, has raised nearly $4.2 million of a $4.6 The Austin-based startup, founded in March of 2013, previously raised $1.2 million, according to its Crunchbase profile. MORE
As the Securities and Exchange Commission scrutinizes secondary market sales of private stock, your company could get stung MORE
On December 12, 2011, the Securities and Exchange Commission (SEC) charged Stiefel Laboratories Inc. SEC and Ex-Employees Pursue Privately Held Company and its Former CEO under Rule 10b-5. Stiefel) and its former CEO and chairman with defrauding company employees and other shareholders out of over $110 million collectively in stock repurchases under the company’s employee stock bonus plan prior to the sale of Stiefel to GlaxoSmithKline plc MORE
In recent months, Rackspace has been approached by multiple parties who have expressed interest in exploring a strategic relationship with Rackspace, ranging from partnership to acquisition,” according to a statement filed with the Securities and Exchange Commission […] The post Rackspace Entertains Buyout Offers appeared first on SiliconHills. Rackspace Hosting may be sold. MORE
Securities and Exchange Commission (the " SEC ") has adopted Rule 13h-1 (the " Rule ") under the Securities Exchange Act of 1934 with respect to large trader registration. The U.S. The Rule requires persons that qualify as a "large trader" to file Form 13H with the SEC to receive a large trader identification number (a " LTID "). Large traders must identify themselves in future transactions to broker-dealers through which they trade, using their LTID MORE
sent a sharply worded letter to Chairman Mary Schapiro of the Securities and Exchange Commission (the "SEC"), in which he demanded that the SEC justify several of its rules regarding raising capital, including the "quiet period" that restricts a company's communications ahead of an initial public offering ("IPO") and the rules that limit the number of investors in private companies to 499 In 2011, U.S. House Oversight Committee Chairman Darrell Issa (R., Calif.), MORE
The Securities Law Blog: Aaron W. The Securities and Exchange Commission today announced that Aaron W. Atlanta has a new rock star SEC head. Lipson Named as Associate Regional Direct. : Lipson has been named the Associate Regional Director for enforcement i MORE
Sure, VC cash can boost your business to new heights, but it also reduces your equity in the company, forces you to focus on company valuation, and provides a false sense of financial security. by Keith Smith, co-founder and CEO of Payability. MORE
The Securities and Exchange Commission initiated a probe of Elon Musk's company over a potential security law violation MORE
Here's how the chair of the Securities and Exchange Commission suggests you can make sure you're getting smart money It's getting tougher to raise capital in today's startup environment. MORE
million in funding its seeking, according to filing with the Securities and Exchange Commission. ParLevel Systems, based at Geekdom in San Antonio, has raised a little more than $2 million of $2.5 MORE
Silverton Partners, a venture capital firm founded in 2005, is raising a $100 million Silverton Partners V fund, according to documents filed with the Securities and Exchange Commission. The Austin-based venture capital firm lists Adam Chibib, Michael Dodd, Morgan Flagler and Kip McClanahan as its general partners. MORE
Merge VR, which makes virtual reality headsets, just raised $10 million, according to a filing with the Securities and Exchange Commission. The San Antonio-based startup lists Geekdom as its headquarters. It is co-founded by Andrew Trickett, who formerly ran the San Antonio Clean Energy Incubator. Franklin Lyons is the other co-founder and the company’s chief […] The post Merge VR of San Antonio Raises $10 Million in Funding appeared first on SiliconHills. MORE
On August 29, 2011, the Securities and Exchange Commission took action against a principal partner (the "Partner") of a registered investment adviser to several private equity funds. [1] MORE
For the first time in 80 years, startups and small businesses can raise up to $1M from their friends, family, and customers via online websites registered with the Securities and Exchange Commission. MORE
The Securities Law Blog: Och-Ziff Hedge Fund Settles FCPA Charges : The Securities and Exchange Commission today announced that Och-Ziff Capital Management Group has agreed to pay nearly $200 million to the S MORE
Subject to certain limited exceptions, companies are prohibited from “general advertising” or “general solicitation” in connection with the private offering or sale of securities. Securities and Exchange Commission (SEC) and, accordingly, many entrepreneurs get trapped in the SEC’s wide net. MORE
A San Antonio medical device company has filed papers with the Securities and Exchange Commission to raise $20 million under the federal government’s newly passed crowdfunding rules. Under the new SEC Regulation A + rules, Aperion Biologics could raise up to $50 million. It checked the box on its registration statement for a Tier 2 […] The post San Antonio-based Aperion Biologics Files to Go Public appeared first on SiliconHills. San Antonio MORE
Private stock exchange IEX has drawn roughly 400 letters of public comment since the Securities and Exchange Commission posted the company's application to become a public exchange. MORE
Securities and Exchange Commission has not yet signed off […] The post Equity Endeavor Wants to Help Mom and Pop Shops Raise Funds appeared first on SiliconHills. Equity Endeavor set out to help startup businesses raise money through its equity-based crowdfunding site. And although that practice has been approved by Congress and signed into law by President Obama as part of the JOBS Act, equity-based crowdfunding still isn’t allowed. That’s because the U.S. MORE
On October 11, 2011, the federal banking agencies and the Securities Exchange Commission issued a joint notice of rulemaking implementing the so-called Volcker Rule of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which prohibits proprietary trading and private fund investing by banking entities. [1] MORE
While the law spans hundreds of pages, it does aim to make it easier for investors and companies to exchange money online. A person to person loan is considered a type of security. The internet is no longer the wild wild west. MORE
Securities and Exchange Commission that frequently result in outcomes unfavorable to business owners The Texas billionaire has asked the Supreme Court to weigh in on administrative trials at the U.S. MORE
million, according to a form filed with the Securities and Exchange Commission. Get Smart Content, which makes a personalized marketing platform, has raised $1.75 The Austin-based startup plans to use the funds to expand its sales operations and marketing efforts, according to a news release. Investors included Virgo Capital and Origin Ventures. To date, the […] The post Austin-based Get Smart Content Raises $1.75 Million appeared first on SiliconHills. Austin MORE
In this article, we will take a look at a few ways to deal securely with an overseas client: Use An Escrow. . Most escrow services start with a 10% commission, not including the currency exchange charges. by Anand Srinivasan, founder of LeadJoint.com . MORE
The Securities and Exchange Commission (SEC) was founded during the Great Depression because people offering stock for sale only showed the Baseline and Best Case numbers and a more robust model was needed – the EMV model. MORE
The Securities and Exchange Commission on Wednesday released its long-awaited proposed rules governing the practice of equity-based crowdfunding that allows startups to sell securities directly to the public. 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. MORE
The Securities and Exchange Commission issued new JOBS Act rules. Here''s how they might affect you MORE
market waits for the Securities and Exchange Commission (SEC) to complete its rulemaking, new rules brought in by the UK’s Financial Conduct Authority (FCA) have divided the opinion of its peer-to-peer lenders and crowd-funding websites. This guest post was contributed by Richard Heap, Partner at Kingston Smith. New UK regulations for equity-based crowdfunding While the U.S. MORE
Introduction I’ve been helping entrepreneurs raise capital as a securities lawyer for 17+ years, and there are certain fundamental legal mistakes that I’ve seen entrepreneurs make over and over again. Fundraising Tips Tip #1: Only Offer and/or Sell Securities to “Accredited Investors”. MORE
Upland Software filed a registration statement with the Securities and Exchange Commission Friday for an Initial Public Offering. The Austin-based company plans to raise up to $50 million, but it has not yet determined the price range for its stock or the number of shares it plans to offer for sell. It plans to list […] The post Austin-Based Upland Software Files to Go Public appeared first on SiliconHills. Austin IPO Upland Software MORE
Securities and Exchange Commission. By LAURA LOREK Reporter with Silicon Hills News Mark Cuban invested in a Canadian Internet company Mamma.com in 2004 that eventually got in trouble with the U.S. Mamma.com’s founders then used emails from Cuban to try to convince the SEC he was a “bad guy.” Cuban got falsely accused of insider […] The post Mark Cuban’s New Passion is Open and Honest Communication Through Cyber Dust appeared first on SiliconHills. Austin MORE
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. The U.S. 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. MORE
On January 6, 2012, the Securities and Exchange Commission (SEC) Advisory Committee on Small and Emerging Companies recommended that the SEC take immediate action to relax or modify the restrictions on general solicitation and general advertising in private offerings that are sold solely to accredited investors MORE
The Securities and Exchange Commission (the "SEC") is cracking down on firms with compliance deficiencies under the Investment Advisers Act of 1940, as amended (the "Advisers Act"). MORE
The Securities and Exchange Commission has proposed amendments to Rule 506 of Regulation D under the Securities Act of 1933 that would disqualify "bad actors" from participating in private placements that rely on Rule 506 for an exemption from the registration requirements of the Securities Act. MORE
Late in 2011, the Securities and Exchange Commission (the "SEC") adopted Rule 204(b)-1 under the Investment Advisers Act of 1940 (the "Advisers Act"). The new rule will require SEC-registered advisers with at least $150 million in assets under management attributable to private funds to report certain information to the SEC on newly created Form PF MORE
The Securities Law Blog: SEC Charges Anheuser-Busch With Violating FCPA and. : The Securities and Exchange Commission today announced that Anheuser-Busch InBev has agreed to pay $6 million to settle charges that it viol MORE
Securities and Exchange Commission Related Topics SiliconHills
OCTOBER 29, 2016
million offering from 43 investors, according to papers filed with the Securities and Exchange Commission. Silicon Hills News did this profile of […] The post Localeur Secures $4.2 Localeur, a travel recommendation service aimed at millennials, has raised nearly $4.2 million of a $4.6 The Austin-based startup, founded in March of 2013, previously raised $1.2 million, according to its Crunchbase profile.
YoungUpstarts
JULY 16, 2013
SiliconHills
OCTOBER 23, 2013
The Securities and Exchange Commission on Wednesday released its long-awaited proposed rules governing the practice of equity-based crowdfunding that allows startups to sell securities directly to the public. 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.
Inc Startups
JULY 11, 2016
The Securities and Exchange Commission initiated a probe of Elon Musk's company over a potential security law violation
YoungUpstarts
FEBRUARY 15, 2017
In this article, we will take a look at a few ways to deal securely with an overseas client: Use An Escrow. . Most escrow services start with a 10% commission, not including the currency exchange charges. by Anand Srinivasan, founder of LeadJoint.com .
Inc Startups
FEBRUARY 18, 2016
Private stock exchange IEX has drawn roughly 400 letters of public comment since the Securities and Exchange Commission posted the company's application to become a public exchange.
SiliconHills
JUNE 2, 2016
Merge VR, which makes virtual reality headsets, just raised $10 million, according to a filing with the Securities and Exchange Commission. The San Antonio-based startup lists Geekdom as its headquarters. It is co-founded by Andrew Trickett, who formerly ran the San Antonio Clean Energy Incubator. Franklin Lyons is the other co-founder and the company’s chief […] The post Merge VR of San Antonio Raises $10 Million in Funding appeared first on SiliconHills.
SiliconHills
DECEMBER 29, 2015
Phunware, a mobile marketing platform for brands, Monday filed papers with the Securities and Exchange Commission to raise up to $49.9 million. The Austin-based company, founded in 2009, has previously raised $47.7 million in five rounds of funding, according to its Angellist profile. In June of 2014, Phunware raised $30.7 million in Series E funding. […] The post Phunware Raises $19.3 Million of $49.9 Million VC Offering appeared first on SiliconHills. Austin
Inc Startups
MARCH 27, 2015
The Securities and Exchange Commission issued new JOBS Act rules. Here''s how they might affect you
SiliconHills
SEPTEMBER 30, 2015
A San Antonio medical device company has filed papers with the Securities and Exchange Commission to raise $20 million under the federal government’s newly passed crowdfunding rules. Under the new SEC Regulation A + rules, Aperion Biologics could raise up to $50 million. It checked the box on its registration statement for a Tier 2 […] The post San Antonio-based Aperion Biologics Files to Go Public appeared first on SiliconHills. San Antonio
SiliconHills
AUGUST 21, 2013
Securities and Exchange Commission has not yet signed off […] The post Equity Endeavor Wants to Help Mom and Pop Shops Raise Funds appeared first on SiliconHills. Equity Endeavor set out to help startup businesses raise money through its equity-based crowdfunding site. And although that practice has been approved by Congress and signed into law by President Obama as part of the JOBS Act, equity-based crowdfunding still isn’t allowed. That’s because the U.S.
Chaganomics
SEPTEMBER 30, 2016
The Securities Law Blog: Och-Ziff Hedge Fund Settles FCPA Charges : The Securities and Exchange Commission today announced that Och-Ziff Capital Management Group has agreed to pay nearly $200 million to the S
Chaganomics
SEPTEMBER 28, 2016
The Securities Law Blog: SEC Charges Anheuser-Busch With Violating FCPA and. : The Securities and Exchange Commission today announced that Anheuser-Busch InBev has agreed to pay $6 million to settle charges that it viol
Scott Edward Walker
JUNE 30, 2011
Introduction I’ve been helping entrepreneurs raise capital as a securities lawyer for 17+ years, and there are certain fundamental legal mistakes that I’ve seen entrepreneurs make over and over again. Fundraising Tips Tip #1: Only Offer and/or Sell Securities to “Accredited Investors”.
SiliconHills
APRIL 8, 2015
Securities and Exchange Commission. By LAURA LOREK Reporter with Silicon Hills News Mark Cuban invested in a Canadian Internet company Mamma.com in 2004 that eventually got in trouble with the U.S. Mamma.com’s founders then used emails from Cuban to try to convince the SEC he was a “bad guy.” Cuban got falsely accused of insider […] The post Mark Cuban’s New Passion is Open and Honest Communication Through Cyber Dust appeared first on SiliconHills. Austin
SiliconHills
NOVEMBER 2, 2015
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. The U.S. 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.
SiliconHills
MAY 17, 2014
In recent months, Rackspace has been approached by multiple parties who have expressed interest in exploring a strategic relationship with Rackspace, ranging from partnership to acquisition,” according to a statement filed with the Securities and Exchange Commission […] The post Rackspace Entertains Buyout Offers appeared first on SiliconHills. Rackspace Hosting may be sold.
SiliconHills
DECEMBER 2, 2016
million, according to a form filed with the Securities and Exchange Commission. Get Smart Content, which makes a personalized marketing platform, has raised $1.75 The Austin-based startup plans to use the funds to expand its sales operations and marketing efforts, according to a news release. Investors included Virgo Capital and Origin Ventures. To date, the […] The post Austin-based Get Smart Content Raises $1.75 Million appeared first on SiliconHills. Austin
Inc Startups
NOVEMBER 20, 2015
The Securities and Exchange Commission is investigating discrepancies in share prices of unicorns. Here's why that affects any startup looking to raise investment funding
Scott Edward Walker
OCTOBER 20, 2011
Subject to certain limited exceptions, companies are prohibited from “general advertising” or “general solicitation” in connection with the private offering or sale of securities. Securities and Exchange Commission (SEC) and, accordingly, many entrepreneurs get trapped in the SEC’s wide net.
SiliconHills
OCTOBER 9, 2014
million in funding its seeking, according to filing with the Securities and Exchange Commission. ParLevel Systems, based at Geekdom in San Antonio, has raised a little more than $2 million of $2.5
Inc Startups
APRIL 1, 2016
Here's how the chair of the Securities and Exchange Commission suggests you can make sure you're getting smart money It's getting tougher to raise capital in today's startup environment.
Gust
OCTOBER 8, 2014
Securities and Exchange Commission provides certain limited exceptions to allow individuals to invest in non-public companies. Part of the challenge is the enormous amount of ignorance surrounding this suddenly hot topic. There are thousands of companies that “the crowd” can fund without restriction, including Apple, Google and Facebook.
Recent Buzzes - VC Experts, Inc.
APRIL 3, 2012
Securities and Exchange Commission (the " SEC ") has adopted Rule 13h-1 (the " Rule ") under the Securities Exchange Act of 1934 with respect to large trader registration. The U.S. The Rule requires persons that qualify as a "large trader" to file Form 13H with the SEC to receive a large trader identification number (a " LTID "). Large traders must identify themselves in future transactions to broker-dealers through which they trade, using their LTID
Gust
OCTOBER 29, 2014
Securities and Exchange Commission gets around to writing and releasing the rules for this program (aaaaaaaaaaaaany day now), you will be able to go online to one of many new ‘crowd funding portals’, where startups looking for equity investments will list themselves (similar to the way project crowd funding sites like Kickstarter work today.) The first question you need to ask is “What country are you in?”
Recent Buzzes - VC Experts, Inc.
FEBRUARY 22, 2012
Late in 2011, the Securities and Exchange Commission (the "SEC") adopted Rule 204(b)-1 under the Investment Advisers Act of 1940 (the "Advisers Act"). The new rule will require SEC-registered advisers with at least $150 million in assets under management attributable to private funds to report certain information to the SEC on newly created Form PF
Recent Buzzes - VC Experts, Inc.
APRIL 18, 2012
On January 6, 2012, the Securities and Exchange Commission (SEC) Advisory Committee on Small and Emerging Companies recommended that the SEC take immediate action to relax or modify the restrictions on general solicitation and general advertising in private offerings that are sold solely to accredited investors
Recent Buzzes - VC Experts, Inc.
NOVEMBER 1, 2011
On August 29, 2011, the Securities and Exchange Commission took action against a principal partner (the "Partner") of a registered investment adviser to several private equity funds. [1]
Recent Buzzes - VC Experts, Inc.
MARCH 14, 2012
The Securities and Exchange Commission (the "SEC") is cracking down on firms with compliance deficiencies under the Investment Advisers Act of 1940, as amended (the "Advisers Act").
Recent Buzzes - VC Experts, Inc.
SEPTEMBER 27, 2011
The Securities and Exchange Commission has proposed amendments to Rule 506 of Regulation D under the Securities Act of 1933 that would disqualify "bad actors" from participating in private placements that rely on Rule 506 for an exemption from the registration requirements of the Securities Act.
Recent Buzzes - VC Experts, Inc.
NOVEMBER 9, 2011
On October 11, 2011, the federal banking agencies and the Securities Exchange Commission issued a joint notice of rulemaking implementing the so-called Volcker Rule of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which prohibits proprietary trading and private fund investing by banking entities. [1]
Recent Buzzes - VC Experts, Inc.
APRIL 11, 2012
On December 12, 2011, the Securities and Exchange Commission (SEC) charged Stiefel Laboratories Inc. SEC and Ex-Employees Pursue Privately Held Company and its Former CEO under Rule 10b-5. Stiefel) and its former CEO and chairman with defrauding company employees and other shareholders out of over $110 million collectively in stock repurchases under the company’s employee stock bonus plan prior to the sale of Stiefel to GlaxoSmithKline plc
SiliconHills
SEPTEMBER 5, 2014
Upland Software filed a registration statement with the Securities and Exchange Commission Friday for an Initial Public Offering. The Austin-based company plans to raise up to $50 million, but it has not yet determined the price range for its stock or the number of shares it plans to offer for sell. It plans to list […] The post Austin-Based Upland Software Files to Go Public appeared first on SiliconHills. Austin IPO Upland Software
Blogtrepreneur | Entrepreneur Blog
AUGUST 1, 2016
While the law spans hundreds of pages, it does aim to make it easier for investors and companies to exchange money online. A person to person loan is considered a type of security. The internet is no longer the wild wild west.
Inc Startups
MARCH 17, 2016
Securities and Exchange Commission that frequently result in outcomes unfavorable to business owners The Texas billionaire has asked the Supreme Court to weigh in on administrative trials at the U.S.
Recent Buzzes - VC Experts, Inc.
JANUARY 4, 2012
sent a sharply worded letter to Chairman Mary Schapiro of the Securities and Exchange Commission (the "SEC"), in which he demanded that the SEC justify several of its rules regarding raising capital, including the "quiet period" that restricts a company's communications ahead of an initial public offering ("IPO") and the rules that limit the number of investors in private companies to 499 In 2011, U.S. House Oversight Committee Chairman Darrell Issa (R., Calif.),
Up and Running
AUGUST 10, 2016
For the first time in 80 years, startups and small businesses can raise up to $1M from their friends, family, and customers via online websites registered with the Securities and Exchange Commission.
Chaganomics
OCTOBER 1, 2016
The Securities Law Blog: Aaron W. The Securities and Exchange Commission today announced that Aaron W. Atlanta has a new rock star SEC head. Lipson Named as Associate Regional Direct. : Lipson has been named the Associate Regional Director for enforcement i
YoungUpstarts
MARCH 14, 2016
Sure, VC cash can boost your business to new heights, but it also reduces your equity in the company, forces you to focus on company valuation, and provides a false sense of financial security. by Keith Smith, co-founder and CEO of Payability.
Early Growth Financial Services
FEBRUARY 17, 2015
market waits for the Securities and Exchange Commission (SEC) to complete its rulemaking, new rules brought in by the UK’s Financial Conduct Authority (FCA) have divided the opinion of its peer-to-peer lenders and crowd-funding websites. This guest post was contributed by Richard Heap, Partner at Kingston Smith. New UK regulations for equity-based crowdfunding While the U.S.
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