YoungUpstarts

AUGUST 21, 2020

In June of 2019, the SEC adopted Regulation Best Interest (or Reg BI), which went into effect as of June 30, 2020. It will require greater transparency and record-keeping, but in addition to giving consumers greater protection, Reg BI can also protect finance professionals. We’re approaching one such time right now.

Technical Review 244

Technical Review SEC Affiliate Technology 244

YoungUpstarts

JULY 6, 2017

Once you learn about all of your financing options, you could choose the one best suited to help your business grow. In order to become an angel investor, one must have a net worth of at least $1 million, an annual income of $200,000 and be accredited by the SEC. By self-financing, you can maintain control of your startup.

Syndicate 127

Syndicate Syndication Software Review Angel Investor 127

Growthink Blog

APRIL 21, 2013

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.

Accredited Investor 95

Accredited Investor SEC San Francisco Equity 95

Startup Professionals Musings

FEBRUARY 21, 2015

despite having been passed into law in early 2012 via the JOBS Act , and still has no scheduled date for availability, waiting for the rules to be finalized by the SEC. In this model, often called micro-financing or peer-to-peer lending (P2P), people contribute with the intent to create a pool for all to borrow against.

Accredited Investor 120

Accredited Investor SEC Equity Europe 120

Startup Professionals Musings

JULY 29, 2020

Every reputable investment firm is registered with FINRA and files regular reports with the SEC. Watch out if someone has a complex plan involving offshore bank financing or gemstones or oil leases in Iran to make you rich. Has the firm ever been disciplined by the SEC or a state regulator? Any mention of “offshore.”

Due Diligence 354

Due Diligence Securities and Exchange Commission Offshore SEC 354

Feld Thoughts

JULY 11, 2010

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.

SEC 136

SEC Pay to Play Colorado Campaign 136

Both Sides of the Table

NOVEMBER 9, 2014

Generally speaking in venture capital financings the legal documents will specify that only “major investors” (a threshold set in the agreement – which can be $500,000 investor or more). They have listed forward revenue figures that are highly questionable and bring the issue of SEC oversight to my mind.

SEC 352

SEC Venture Capital Early Stage Cofounder 352

Feld Thoughts

DECEMBER 29, 2011

I’ve always had mixed feelings about the importance of a company announcing a financing in the absence of any other activity. When you do a financing, you file something called a Form D with the SEC. For some reason, some companies want to keep their financings quiet. ” Ok, but so what? ” Next.

Finance 133

Finance SEC Term Sheet Acquisition 133

Professor VC

NOVEMBER 14, 2011

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

SEC San Jose Angel Investor Accredited Investor 54

BeyondVC

AUGUST 9, 2006

Ultimately what will give you the best chance for success is focusing on the things that you can control – building a real business with a real economic model that can generate cash from internal operations vs. through external financing. As he discusses in his blog post: Why I decided to pull our IPO filing. technology sector.

Technical Review 78

Technical Review IPO SEC Stock 78

SiliconHills

OCTOBER 23, 2013

Early next year, startups may be able to raise money from the general public to finance their ventures. Legislation from the JOBS Act, signed into law by […] The post SEC Releases Rules for Equity-based Crowdfunding appeared first on SiliconHills.

SEC 92

SEC Securities and Exchange Commission Equity San Antonio 92

The Startup Magazine

FEBRUARY 7, 2025

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.

Securities and Exchange Commission 138

Securities and Exchange Commission Portfolio Finance Due Diligence 138

YoungUpstarts

JUNE 26, 2018

For example, regulators in countries such as China and South Korea started to toughen up on cryptocurrencies while in the US, there was a move by the SEC to try and gain control over the cryptocurrency market. In fact, around the world there seemed to be a new passion for regulation.

Finance 147

Finance South Korea Forecast SEC 147

BeyondVC

JANUARY 6, 2018

Dev Sec Ops is the hot topic in security: With the velocity of software development and the reuse of software components, building in security at developer level becomes a must have. 2 exits including yhat (sold to AlteryxAYX NYSE) and init.ai , one an early investment in a data science platform and the other on NLP for developers.

Cloud 78

Cloud Cofounder Portfolio Advisory Board 78

Startup Professionals Musings

SEPTEMBER 22, 2013

Every reputable investment firm is registered with FINRA and files regular reports with the SEC. Watch out if someone has a complex plan involving offshore bank financing or gemstones or oil leases in Iran to make you rich. Has the firm ever been disciplined by the SEC or a state regulator? Any mention of “offshore.”

Securities and Exchange Commission 240

Securities and Exchange Commission Offshore SEC Iran 240

Startup Professionals Musings

SEPTEMBER 29, 2014

A few years ago it was all the rage to have MBAs in the top finance role. These days, with Sarbanes-Oxley and all the new SEC regulations, an MBA does not begin to cover the accounting, process, and tax knowledge needed to steer a company’s finances. The job of a startup CFO is very different from one at a “big” company.

NDA 248

NDA CPA SEC Startup 248

Up and Running

AUGUST 28, 2019

Because of its popularity, Delaware is also statistically a popular state for investors to finance businesses. Some corporations also need to register with the SEC , so be sure to research whether that is required for your company. This sounds great, but doing business in another state means additional paperwork.

Delaware 83

Delaware Stock Nevada Technical Review 83

Startup Professionals Musings

APRIL 23, 2023

Every reputable investment firm is registered with FINRA and files regular reports with the SEC. Watch out if someone has a complex plan involving offshore bank financing or gemstones or oil leases in Iran to make you rich. Has the firm ever been disciplined by the SEC or a state regulator? Any mention of “offshore.”

Securities and Exchange Commission 232

Securities and Exchange Commission Due Diligence Offshore SEC 232

Startup Professionals Musings

JANUARY 30, 2011

Every reputable investment firm is registered with FINRA and files regular reports with the SEC. Watch out if someone has a complex plan involving offshore bank financing or gemstones or oil leases in Iran to make you rich. Have you or your firm ever been disciplined by the SEC or a state regulator? Any mention of “offshore.”

Securities and Exchange Commission 232

Securities and Exchange Commission Offshore SEC Iran 232

YoungUpstarts

JULY 1, 2014

Crowdfunding – the (usually online) collection of finance from a large number of supporters for a particular purpose, such as funding an idea – has taken the online world by storm in recent years, and especially in the startup space. Research estimates $5.1

SEC 184

SEC Finance Security Small Business 184

Feld Thoughts

JANUARY 15, 2023

The SEC has an official publication, Ponzi schemes Using virtual Currencies. And there’s plenty of it, especially human nature and greed, all the time, everywhere, in finance. How confusing. What should an investor believe? It’s … not helpful … and implies almost everything in crypto is a Ponzi scheme.

SEC 226

SEC Finance 226

Startup Professionals Musings

MARCH 9, 2013

A few years ago it was all the rage to have MBAs in the top finance role. These days, with Sarbanes-Oxley and all the new SEC regulations, an MBA does not begin to cover the accounting, process, and tax knowledge needed to steer a company’s finances. The job of a startup CFO is very different from one at a “big” company.

NDA 237

NDA CPA Startup SEC 237

Startup Professionals Musings

JANUARY 7, 2011

A few years ago it was all the rage to have MBAs in the top finance role. These days, with Sarbanes-Oxley and all the new SEC regulations, an MBA does not begin to cover the accounting, process, and tax knowledge needed to steer a company’s finances. The job of a startup CFO is very different from one at a “big” company.

NDA 233

NDA CPA Startup SEC 233

abovethecrowd.com

AUGUST 23, 2020

I would argue that any first year finance student or computer science student would naturally assume this is how traditional public offerings already work (they would be wrong). The direct listing process is much simpler, is elegant, and uses modern market-based approaches to both price discovery and allocation.

IPO 118

IPO Silicon Valley Warrant Matching 118

Feld Thoughts

SEPTEMBER 20, 2013

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.”

SEC 144

SEC IPO Investment Bankers Valuation 144

BeyondVC

AUGUST 9, 2006

Ultimately what will give you the best chance for success is focusing on the things that you can control – building a real business with a real economic model that can generate cash from internal operations vs. through external financing. As he discusses in his blog post: Why I decided to pull our IPO filing. technology sector.

Technical Review 60

Technical Review IPO SEC Stock 60

Business Plan Blog

NOVEMBER 13, 2013

The first milestone in a new startup’s financing is called ‘Seed Capital’ which refers to the initial investment raised by the founders from their friends and family, or commonly referred to as FFF (Friends, Family and Founders), who mostly use their personal assets. Convertible Debt Financing. Raising Seed Capital.

Finance 93

Finance Accredited Investor Angel Investor Seed Capital 93

BeyondVC

JANUARY 6, 2018

6 portfolio companies raised Series A financings including Manifold , Hypr , and 4 unannounced, 1 raised a Series B (unannounced), and Security Scorecard raised a $28mm Series C. 2 exits including yhat (sold to Alteryx?

Cloud 60

Cloud Cofounder Portfolio Advisory Board 60

Startup Professionals Musings

JANUARY 29, 2010

Every reputable investment firms has to file regular reports with the SEC. Watch out if someone has a complex plan involving offshore bank financing or gemstones or oil leases in Iran to make you rich. Have you or your firm ever been disciplined by the SEC or a state regulator? Any mention of “offshore”. How do you get paid?

Securities and Exchange Commission 176

Securities and Exchange Commission Offshore SEC Iran 176

Gust

JULY 18, 2012

Yet I’ve rarely seen entrepreneurs more fired up than when recounting war stories of startups whose founders had control of the company wrested from them, were forced to take financing or compensation deals on outrageously onerous terms , or worst of all, fired from their own companies.

Stock Options 188

Stock Options SEC Stock Government 188

The Startup Magazine

OCTOBER 2, 2020

Public accounting helps ensure that your company is meeting the guidelines set by the Securities Exchange Commission (SEC), as well as the Financial Accounting Standards Board (FASB). Separate Your Personal And Business Finances – Startup businesses usually have limited financial resources.

Securities and Exchange Commission 167

Securities and Exchange Commission Finance SEC Software 167

abovethecrowd.com

FEBRUARY 24, 2015

Historically, different financial institutions specialized in different stages, because the assessment of risk and opportunity was considered unique at each stage — for example, a seed investor was unlikely to do late-stage financing, and vice versa. Some have argued that each of these companies would already be public in a prior era.

IPO 40

IPO Liquidation Preference Valuation Technical Review 40

YoungUpstarts

FEBRUARY 1, 2020

You are sure to be happy when your business reaches a Series B financing round because it usually means your company has a higher valuation. Before your financial statements can be filed with the SEC or distributed outside of your business, an external auditor must ensure your records adhere to GAAP. 409A Valuations.

CPA 165

CPA Stock Options Valuation Stock 165

Pascal's View

MARCH 18, 2010

I remain surprised that this seems to be difficult for our policy makers to understand, but I am encouraged that the SEC has recently invited public comments for a 90 day period to address structural problems with the U.S. For more on the SEC Concept Release, click HERE. equity markets. I believe that the U.S.

IPO 28

IPO Government SEC Venture Capital 28

Duct Tape Marketing

FEBRUARY 1, 2023

I applied to Duke, so like top, top colleges and I'm playing to, I study either entrepreneurship or finance. Hold on one sec. I applied to a select number of colleges, a few Ivys, Vanderbilt over in Tennessee. So yeah, it's exciting waiting to hear back, but John Jantsch (11:38): So what does that mean? Sorry about the delay here.

Entrepreneur 94

Entrepreneur Massachusetts Distribution Networking 94

VC Adventure

MAY 21, 2014

506(b) vs 506(c): These refer to two of the SEC rules that regulate “crowdfunding” financing. What this means for an AngelList company is – be completely ready for investors before giving FG Angels the green light to go live.

Syndicate 93

Syndicate Syndication Technical Review Due Diligence 93

Gust

SEPTEMBER 21, 2014

A few years ago it was all the rage to have MBAs in the top finance role. These days, with Sarbanes-Oxley and all the new SEC regulations, an MBA does not begin to cover the accounting, process, and tax knowledge needed to steer a company’s finances. The job of a startup CFO is very different from one at a “big” company.

NDA 147

NDA CPA SEC Startup 147