Tag Archives: sec

SEC Lifts Ban On General Solicitation, Allowing Startups To Advertise That They’re Fundraising

The SEC has just voted 4 to 1 in favor of implementing section 201(a) of the JOBS Act, which lifts the ban on general solicitation and permits startups, venture capitalists, and hedge funds to openly advertise that they’re raising money in private offerings. While it may pose added risk of investors being misled, it should […]

SEC mulls raising trading increments for small caps

July 6 | Fri Jul 6, 2012 10:20am EDT By Olivia Oran (Reuters) – U.S. regulators are considering whether stocks of small companies should be priced in increments of more than a penny, a change that could affect more than two-thirds of listed companies. The Securities and Exchange Commission thought it settled this debate in […]

SEC delays JOBS Act, Startups Reg A versus D 506

Regulation A and Regulation D is heavily different under JOBS Act according to David Drake of LDJ Capital and David Weild, former vice chair of Nasdaq. SEC officially announced it will miss the 90 day deadline to amend the Reg D exemption 506. FOR IMMEDIATE RELEASE PRLog (Press Release) – Jun 29, 2012 – As […]

SEC Suspends Trading In 379 Microcap Companies In Fraud Crackdown

by Robert Wilcox: The Securities and Exchange Commission said it suspended trading in 379 dormant companies–the most companies the regulator has ever suspended in one day–in an effort to prevent the stocks from being hijacked by fraudsters. The SEC’s previous largest trading suspension was an order in September 2005 that involved 39 companies. The suspensions […]

Providing Earnings Guidance? Think Again

Providing Earnings Guidance? Think Again 1:00 PM Friday May 4, 2012 by Bruce Nolop As we saw again this quarter, earnings announcements can have significant impacts on stock valuations—at least over the short term. Investors reward companies (such as Apple and Kimberly-Clark) whose current performance or guidance for the future exceeds market expectations, and they […]

8 Crowdfunding Sites to Watch

8 Crowdfunding Sites to Watch Julianne Pepitone @cnnmoneytech – April 5th, 2012 The just-passed JOBS Act will let businesses raise cash from small-time investors through crowdfunding. These sites could become the go-to spots for those deals. The Jumpstart Our Business Startups (JOBS) Act, signed into law by President Obama this week, wipes away a batch […]

Jobs Act Signed Into Law by President Obama – SEC to Draft New Rules by 2013

GlobalPost Samantha Stainburn – April 5, 2012 17:38 President Barack Obama signed the Jumpstart Our Business Startups (JOBS) Act into law today, CNN Money reported. The JOBS Act is designed to give fast-growing startups like biotech and tech companies a boost. The bill got bipartisan congressional support, but it was only a small part of […]

Burger King Going Public Through Shell – Bypasses Seasoning to NYSE

By David Feldman at 4 April, 2012, 2:52 pm Big news! The Associated Press (and now everyone else) is reporting that the investment firm 3G Capital, that owns Burger King, is taking the whopper maker public again. Through an IPO? Nope. 3G is going to sell 29% of the company to Justice Holdings Ltd. which is a […]

Cautionary Tale – SEC & U.S. Congress Examining Regulations Governing Private Share Trading

Cautionary Tale – SEC & U.S. Congress Examining Regulations Governing Private Share Trading SEC charges SharesPost, Felix over pre-IPO trading By Sarah N. Lynch and Aruna Viswanatha | Reuters – Wed, Mar 14, 2012 WASHINGTON (Reuters) – U.S. securities regulators brought charges against an online trading platform and two private funds that were offering Facebook shares, the […]

Schwab says SEC Stance a Win for Alternative Asset

Schwab says SEC Stance a Win for Alternative Asset Wed Mar 7, 2012 5:06pm EST Schwab says SEC OKs broker-dealers’ use of AIP platform Company says platform will save time for advisers By John McCrank NEW YORK, March 7 (Reuters) – The process of buying and selling of hedge funds and other alternative investment assets […]