New SEC Rule Will Offer Up to $60 Million

New SEC Rule to Reg. A Will Offer Up to $60 Million of Securities Annually
New amendments to Super Regulation A are being adopted by the Security and Exchange Commission, along with other new SEC rules and forms to implement Section 401 of the Jumpstart Our Business (JOBS) Act.

Section 401 of the JOBS Act also …

Accredited Investor Qualifications

Will the SEC Change the Accredited Investor Qualifications?
The SEC sets the accredited investor qualifications criteria and hasn’t made changes to the income qualification since 1982. In order for an investor to be considered accredited, they need to make $200,000 a year as an individual or $300,000 with their spouse. They need to have met …

How to Find Accredited Investors Online

Finding Accredited Investors Interested in Your Investment Opportunity
If you are raising money, it is important to find accredited investors that are interested in your opportunity. There are several ways to make your opportunity more appealing, and it is important to start with a well-crafted private placement and executive summary. Without these documents in hand, …

What is a Reg D Accredited Investor?

If you are looking to raise money or sell investments, it is important to know what a Reg D Accredited Investor is and how to find them. This is a select group of individuals with a high-income earning and a high net worth. You can’t tell who is accredited simply by looking at them. Rather, there …

Accredited Investor Lists Help Raise Money

An Accredited Investor List Can Help You to Raise Money
If you are raising capital, an accredited investor list can help you to reach more investors that are qualified and able to put money into your deal. When raising money using a Reg D offering, it is important to work with accredited investors to stay …

Learn What Makes a Qualified Investor

Whether raising money for a private placement or building your portfolio of investment clients, working with a qualified investor will help to improve your success. By working with a premier group of investors, you will be able to accomplish more in less time. The key is understanding what makes a qualified investor and how …

Rules Around Telemarketing Securities

Getting Familiar with SEC Telemarketing Rules
Many firms use telemarketing as a way to reach their customers. An often criticized approach, it is also highly effective in getting people to engage in conversation which is the first step to closing a sale. It is important for companies involved at any level in the sale of …

Chicago CPA Charged with Insider Trading

Chicago, IL: Federal Prosecutors have charged a certified public accountant and former director of corporate audits for Chicago based Allscripts Healthcare Solutions with insider trading.
Steven M. Dobrowski has been charged with 16 counts of securities fraud in the indictment, each of which carries a maximum penalty of 20 years in prison and a …

Money Manager Charged With False Advertising

New York, NY: The Securities and Exchange Commission (SEC) has charged a New York based money manager and his firm of false advertising.
The charges stem from claims made by the company on their Twitter, newsletters, and other communications about the success of their investment advice and a mutual fund that the firm manages.

In an …

Executives Charged with Securities Fraud

Austin, Texas: The Federal Bureau of Investigation (FBI) announced today that ArthroCare Corporation has agreed to pay $30 million in a monetary penalty to resolve charges that senior executives in the company engaged in securities fraud.
ArthoCare is a multi-business medical device company that manufactures, develops, and markets medical devices. However, members of the company’s …