Remove Finance Remove Government Remove SEC
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How Reed Hastings’ Facebook Status Update Landed Netflix in SEC’s Crosshairs

Gust

Last month, the SEC announced it was taking action regarding Netflix’ (NFLX) securities compliance based on a Facebook status update posted by CEO Reed Hastings. To understand the SEC’s point of view , it’s necessary to review the principles underlying securities law in the United States.

SEC 158
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What to Know About Cryptocurrency and Scams

The Startup Magazine

Fortunately, you can take steps to protect yourself and your finances. Lastly, many government entities, such as the Securities and Exchange Commission (SEC), can offer support. Tips for Avoiding Cryptocurrency Scams. As the use of cryptocurrency grows, it is important to be aware of cryptocurrency scams.

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FinTech Innovation Lab Launch Event – June 2, 2011

David Teten

Very enthusiastic about the potential for the NY tech ecosystem, leveraging our strength in finance. Social networking is governed by SEC 17a4, and SEC hasn’t opined on this. A few companies (Google, Amazon, MSFT) have compute economies of scale that no other entity can touch, including government.

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The First Anniversary of Legalized Crowdfunding Is A Bit of A Let Down

Growthink Blog

However, before entrepreneurs could start using equity-based crowdfunding, the SEC had to write the specific rules governing it. The SEC was given 9 months to write those rules; they were due on December 31, 2012. However, the SEC failed to meet that deadline. The good news is that any day, they will.

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

Feld Thoughts

The common description of pay to play is “ the practice of making campaign contributions and related payments to elected officials in order to influence the awarding of lucrative contracts for the management of public pension plan assets and similar government investment accounts. &# Yup – sounds like bribery to me.

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ProfessorVC: Crowdfunding - Good Idea or Really, Really Stupid.

Professor VC

These investments would be exempt from registration under the 1933 SEC Act. There is a reason the SEC exists. I cant remember if the SEC was one of the government agencies that Rick Perry wants to get rid of (but neither can he ), but it seems like this is the exact type of investor that the SEC was set up to protect.

SEC 54
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Unlocking Financial Potential: Understanding Registered Investment Advisor Services

The Startup Magazine

RIAs must register with the Securities and Exchange Commission (SEC) or state regulatory authorities, adhering to strict regulations designed to protect clients and ensure professional integrity. RIAs leverage insights from behavioral finance to help clients identify common cognitive biases that may hinder sound investment decisions.