• FundAmerica | Crowdfunding Technology & Compliance

Scott's Blog

Articles posted by: Scott Purcell
Funding Portals & Anti-Money Laundering Requirements

There has been some confusion from a few funding portals regarding their anti-money laundering (“AML”) responsibilities, in part from (misguided) efforts to try and save a little bit of money […]

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The good news is that under Reg A (and 506b&c), securities offerings by an issuer are exempt from state blue-sky registration. This is fantastic as it means that you don’t […]

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Reg A’s Ask: should I “test the waters”? I get this question fairly often. The new securities regulations allow a company to “test the waters” (“TTW”) before they conduct a […]

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Lessons Learned: Getting your Reg A or 506(c) deal sold We’ve seen hundreds of successful offerings go through our system, and some that weren’t. Why? What’s the difference between one […]

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Lets use technology simplify another complicated problem. In a Reg A+, 506(c) or other type of offering, the issuer can sell securities directly to investors. This greatly enhances marketing & […]

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We’ve gotten questions from portals about AML. Many are under the misconception that they do not have AML obligations on their investors or issuers because the SEC Title III rules […]

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It just got easier for broker-dealers to add issuers and offerings to the compliance system, enabling you to load, manage, market and supervise your online fundraising (506b/c, Reg A, Reg […]

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his article is for people who are considering entering the Title III crowdfunding space. Next week you will be able to file with FINRA to operate a funding portal. There […]

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Some recent Securities and Exchange Commission (SEC) actions should be carefully reviewed by issuers, funding platforms and portals as they provide stark warning to those who sell securities over the […]

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Involved with Reg A offerings? Then as you likely know, just filing with the SEC is not enough. “In addition to the requirements (of state filing fees), most states (also) […]

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