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Latest Blog Posts
Emergency relief for Reg A issuers?
The ongoing government shutdown is hurting startups. Regulation A was amended in 2015 to give early-stage companies a…
Regulation A Expanded to Allow Offerings by Exchange Act Reporting Companies
Deviating from its standard rulemaking procedures, the SEC issued final rules on December 19, 2018 to expand the…
Miracle on Pennsylvania Avenue: A holiday story
I wrote this and posted it on my personal blog at the time of the Christmas 2012 Shutdown. Unfortunately, it seems just…
Broker-dealers, funding portals, and FINRA’s 2018 examination findings
On December 7, 2018, FINRA released its 2018 Report on Examination Findings. This is the second annual report FINRA has…
Confucius on the rectification of names and securities tokens
Confucius had some thoughts on precision of language: Tsze-lu said, “The ruler of Wei has been waiting for you, in…
Tier 1 Zombies: a Regulation A scam to watch out for
We’ve noticed something interesting recently: Regulation A filings by companies that used to be SEC-reporting companies…
The snark of the crowd
Part of the whole point of crowdfunding is that you leverage the “wisdom of the crowd.” That is, a start-up company…
Pumpkin Spice Blockchain
Well, actually nothing of the sort, but did I get your attention? The SEC is continuing to bring suit against ICO…
Buyer beware: securities are not always what they seem…
We love crowdfunding here at CrowdCheck, and we really believe it is a great opportunity to invest in some interesting…
ICOs and when “KYC/AML” isn’t actually KYC/AML
We are seeing a lot of references to KYC/AML in the ICO/STO space. Lots of shops include this function as part of their…
Compliance with Reg CF: Are you required to include financial statements of a predecessor or an acquisition target?
Often, companies are started with just an idea. A founder may decide to quickly form a limited liability company to…
It’s so hard to say goodbye
Early-stage companies often fail. They often get acquired, too, sometimes in distressed circumstances and sometimes in…
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