Category Archives: Financings

The SEC Releases Crowdfunding Rules…Now What?

The SEC issued its long awaited proposed crowdfunding rules yesterday. NPR asked me for my thoughts on how it might apply and what to expect. NPR Interview More About the SEC Crowdfunding Rules Take a look at the SEC Draft … Continue reading

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Unrequested Media Coverage and General Solicitation

Q: If I file a Form D, as required by Regulation D, and a media outlet picks up on the filing and reports on it, have I generally solicited my offering under Rule 506? What happened was, we raised $100,000 … Continue reading

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Am I Disqualified From Using Rule 506 If I Miss a Form D Deadline?

I was asked this question today: “If I filed a Form D late a couple of years ago, and the proposed rules go into effect as written, they provide a 5 year look back. Does that mean I will suffer … Continue reading

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Can I Talk To the Press?

Q: My company is conducting a non-generally solicited offering under Rule 506(b). We have held our first closing and filed our Forms D with the SEC and various state securities departments. Now the press has picked up the Form D … Continue reading

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Questions From Adam Lieb, Founder of Duxter

The other day, Adam Lieb of Duxter and I had the chance to correspond with each other about the SEC’s now effective general solicitation rules and the SEC’s proposed rules regarding Regulation D and Form D.  Adam had a bunch of … Continue reading

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