Following last year’s drastic increase in the annual limits permitted for crowdfunding campaigns, the Securities and Exchange Commission (SEC) has increased its focus on the regulation of crowdfunding, particularly for...more
10/18/2021
/ Anti-Fraud Provisions ,
Broker-Dealer ,
Capital Raising ,
Crowdfunding ,
Financial Industry Regulatory Authority (FINRA) ,
Financing ,
Investment Management ,
JOBS Act ,
Policies and Procedures ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Startups ,
White Collar Crimes
On July 21, the Securities and Exchange Commission’s Division of Examinations (Division) released two separate “risk alerts,” encouraging investment advisers to implement written policies and procedures or review existing...more