Startup Professionals Musings

NOVEMBER 7, 2021

The SEC and local law enforcement agencies can’t help you much with foreign scams. Unsolicited foreign investors that contact you on the Internet need extra scrutiny. If you feel confused by conflicting time zones, differing currencies, and up-front costs, it’s time to run the other way. Deposit required to hold your terms.

Technical Review 371

Technical Review Due Diligence Non-disclosure Agreement Term Sheet 371

Startup Professionals Musings

SEPTEMBER 11, 2017

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. Public companies of any size must comply immediately with the full reporting requirements of the SEC.

IPO 218

IPO SEC Prospectus Technical Review 218

YoungUpstarts

JULY 16, 2013

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.

SEC 214

SEC Securities and Exchange Commission United States Entrepreneur 214

Startup Professionals Musings

JANUARY 20, 2020

In fact, perhaps the most important model, equity crowdfunding for non-accredited investors was only legalized via the SEC in 2016, so its impact is still in the early stages. The primary challenge seems to be that the crowdfunding term is used to encompass so many different concepts that everyone is confused.

Accredited Investor 324

Accredited Investor Entrepreneur SEC Equity 324

Scott Edward Walker

AUGUST 30, 2020

This past Wednesday, the Securities and Exchange Commission (SEC) adopted amendments expanding the definition of “accredited investor” to include individuals who hold certain professional certifications/licenses or have certain “credentials,” as determined by the SEC. Background. Current Definition of “Accredited Investor”.

Accredited Investor 52

Accredited Investor SEC Securities and Exchange Commission Private Placement 52

techcrunch.com

APRIL 26, 2013

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. Digital Cameras. Headphones. CrunchBase. Hot topics. Disrupt NY. After Raising $6.7M View Staff Page.

SEC 61

SEC Accredited Investor San Diego New York City 61

thebarefootvc

DECEMBER 18, 2018

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 SEC charged the founder with operating an unregistered exchange, its first action against a DEX.

SEC 40

SEC Switzerland Security Operations 40

thebarefootvc

NOVEMBER 18, 2018

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 SEC charged the founder with operating an unregistered exchange, its first action against a DEX.

SEC 40

SEC Switzerland Security Operations 40

Feld Thoughts

JULY 16, 2013

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. So much for deregulation!” ” Seriously?

SEC 152

SEC Equity Email Security 152

Gust

JANUARY 31, 2013

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

SEC Prospectus United States Technical Review 158

The Startup Magazine

JANUARY 18, 2023

Lastly, many government entities, such as the Securities and Exchange Commission (SEC), can offer support. Secondly, financial regulatory bodies such as the FBI’s Internet Crime Complaint Center (IC3) in the US accept cybercrime reports and launches investigations if necessary.

Securities and Exchange Commission 139

Securities and Exchange Commission Software Review Technical Review SEC 139

YoungUpstarts

JUNE 11, 2012

Negative SEC filings are bad enough, but having one show up on the first page of a Google search for your brand when someone is deciding whether or not to do business with you is much worse. Heed this advice and you could be saving yourself years of misery and money spent on costly reputation management services.

Reputation 243

Reputation Management SEC SEO 243

Feld Thoughts

JUNE 20, 2011

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.

SEC 112

SEC RSS IPO Stock 112

Startup Professionals Musings

APRIL 23, 2023

Every reputable investment firm is registered with FINRA and files regular reports with the SEC. Has the firm ever been disciplined by the SEC or a state regulator? Here are some common sense tips: Get financial statements and verify. Look for these and investigate thoroughly to check the truth of every statement about the company.

Securities and Exchange Commission 232

Securities and Exchange Commission Due Diligence Offshore SEC 232

Startup Professionals Musings

MAY 29, 2022

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. Public companies of any size must comply immediately with the full reporting requirements of the SEC.

IPO 245

IPO SEC Prospectus Startup 245

Gust

JANUARY 5, 2012

But, this SEC limit has created some problems for these high-tech phenoms, both in raising additional capital and in private sales through secondary markets in which early investors resell shares to a large number of smaller US buyers. Raising $1000 each from 1000 investors would surely seem to violate current SEC regulations.

SEC 131

SEC Angel Groups Technical Review Private Equity 131

Startup Professionals Musings

JANUARY 20, 2019

The SEC and local law enforcement agencies can’t help you much with foreign scams. Unsolicited foreign investors that contact you on the Internet need extra scrutiny. If you feel confused by conflicting time zones, differing currencies, and up-front costs, it’s time to run the other way. Deposit required to hold your terms.

Technical Review 228

Technical Review Non-disclosure Agreement Due Diligence Term Sheet 228

Startup Professionals Musings

FEBRUARY 1, 2015

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. Public companies of any size must comply immediately with the full reporting requirements of the SEC.

IPO 120

IPO SEC Prospectus Startup 120

Both Sides of the Table

MAY 15, 2010

What are “Reg D” filings with the SEC and why does this make it harder to stay in stealth mode? But when the finally convert the debt to equity the round gets filed with the SEC and thus journalists often pick up on it. It’s worth clicking on the link and reading the very short recommendations given by all of us.

Stealth 285

Stealth SEC Advertising Accredited Investor 285

Startup Professionals Musings

JULY 29, 2020

Every reputable investment firm is registered with FINRA and files regular reports with the SEC. Has the firm ever been disciplined by the SEC or a state regulator? Here are some common sense tips: Get financial statements and verify. Look for these and investigate thoroughly to check the truth of every statement about the company.

Due Diligence 354

Due Diligence Securities and Exchange Commission Offshore SEC 354

VC Cafe

JANUARY 30, 2023

articles of incorporation, bylaws, shareholder agreements), employment contracts, patents and trademarks, contracts with providers, SEC filings, licenses Business documents – client contracts, pipeline (can be redacted: i.e SAFE note), shareholder agreements, company formation and governance documents (e.g.

Technical Review 104

Technical Review Due Diligence Cap Table Startup 104

SiliconHills

OCTOBER 23, 2013

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'

SEC 69

SEC Securities and Exchange Commission Equity San Antonio 69

SiliconHills

JUNE 27, 2018

Air Force Sec. It allows military personnel to collaborate with industry, educators, entrepreneurs and others on new ideas and products without dealing with […]. The post U.S. Wilson Launches AFWERX Innovation Lab at Capital Factory appeared first on SiliconHills.

SEC 59

SEC Entrepreneur Product Austin 59

Startup Professionals Musings

JUNE 6, 2022

Today most startup investors still register with the SEC as “ accredited ” investors before they buy any startup equity in the U.S. Public companies with stock usually have industry analysts and SEC filings to give investors a quick view of the company stock value. Do your homework before investing.

Liquidity Event 300

Liquidity Event Angel Investor SEC Accredited Investor 300

David Teten

DECEMBER 8, 2010

Expert networks have been in the news a lot for the past few weeks, due to the SEC’s attempt to look for insider trading amongst hedge funds, following on their Galleon investigation (Raj Rajaratnam of Galleon is in the photo shown). The best source of information on this topic is as usual the Integrity Research blog.

Networking 122

Networking Private Equity SEC Software Review 122

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 133

SEC Pay to Play Colorado Campaign 133

thebarefootvc

MAY 13, 2019

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. Having just read through the entire document, I think it is significant in the clarity it provides.

SEC 40

SEC Taiwan Application Development Community 40

TechEmpower

MARCH 4, 2014

40 threads and 256 connections Thread Stats Avg Stdev Max +/- Stdev Latency 247.05us 3.52ms 624.37ms 99.90% Req/Sec 27.89k 6.24k 50.22k 71.15% 31173283 requests in 29.99s, 3.83GB read Socket errors: connect 0, read 0, write 0, timeout 9 Requests/sec: 1039305.27 Transfer/sec: 130.83MB. Running 30s test @ [link].

SEC 514

SEC EC2 Architecture Java 514

Feld Thoughts

JANUARY 15, 2023

The SEC has an official publication, Ponzi schemes Using virtual Currencies. .” But then someone else in the Crypto industry, on the same website, wrote Crypto Ponzi Schemes: How to Identify and Protect Yourself From These Scams. How confusing. What should an investor believe?

SEC 219

SEC Finance 219

Business Plan Blog

OCTOBER 25, 2013

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.

SEC 76

SEC Accredited Investor .Net Framework 76

Up and Running

NOVEMBER 12, 2014

Additionally, a fundraising business offering and selling securities must comply with the regulations of the SEC, the federal government’s securities watchdog. The SEC’s proposed equity crowdfunding rules regulate, in part: Your business (the securities issuer). Certain SEC disciplinary, and cease-and-desist orders.

Equity 125

Equity SEC Technical Review Security 125

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

SEPTEMBER 23, 2013

The newest equity model was passed into law in early 2012 via the JOBS Act , and still has no scheduled date for availability in the USA, waiting for the rules to be defined by the SEC: Startup equity crowd funding.

Intellectual Property 247

Intellectual Property SEC Venture Capital Equity 247

SiliconHills

NOVEMBER 2, 2015

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 new rules allow companies to offer up to $1 million a year in securities through online equity-based crowdfunding portals.

SEC 48

SEC Securities and Exchange Commission Equity Accredited Investor 48

Berkonomics

OCTOBER 24, 2024

The legal issues The problem in taking such money from “FFF” investors often is taking money from non-accredited investors, people who do not meet the SEC standard for making non-public company investments.

Cap Table 62

Cap Table Private Placement SEC Accredited Investor 62

The Next Web

JANUARY 27, 2013

While the latter is not yet legal in the United States, the JOBS Act, which was signed into law in April 2012, mandates that the SEC makes it legal by January 1st of 2013. Crowdfunding is the process of raising capital by offering rewards to ‘backers’ by pre-selling your product or offering equity in exchange.

SEC 146

SEC Equity United States Angel Investor 146

Scott Edward Walker

JUNE 30, 2011

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.

Securities and Exchange Commission 76

Securities and Exchange Commission Accredited Investor Private Placement Finder 76