SEC Questions


1 Votes
2 Answers
1.34K Views
Finder's Fees and SEC regulations

I've been advised on multiple occasions that agreeing to a finder's fee as a percentage of capital raised is illegal in the United States, unless the "finder" is a licensed broker-dealer. Despite...

asked Jan 30 '13 at 02:33
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Channel72
106 points

0 Votes
1 Answers
822 Views
Follow the developing SEC's regulations related to the JOBS bill?

I would like to follow the development of the regulations so as to better understand them when they are finalized. How/where can I follow the developing SEC's regulations related to the JOBS...

asked May 14 '12 at 04:35
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Russ O'matic
6 points

0 Votes
1 Answers
1.07K Views
Employee Stock Options Plans effect on SEC Registration Requirements

Companies that have $10 million in assets and 500 shareholders of record are currently required to register with the Securities and Exchange Commission (SEC) and are thus subject, among other...

asked Mar 26 '12 at 07:38
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Blunders .
899 points

2 Votes
4 Answers
2.99K Views
Can an investment club, made up of non-accredited investors, invest in multiple startups?

We are about to create an investment club. We have plans to buy stock, but we plan to invest over 50% of our shares monthly minimums on startups. Is this allowed since we are an LLC with multiple...

asked Mar 7 '12 at 03:11
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Constantine Hinds
11 points