• FundAmerica | Crowdfunding Technology & Compliance

Scott's Blog

Keeping you informed.
SEC Slaps Reg A Issuer in Industry Wake-Up Call

The industry has just seen the first Reg A issuer get hit by the SEC. Did the SEC cite fraud? No. Did it cite problems with the issuers’ lawyer, accountant, […]

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Online Capital Raise: Offering Fees & Determining the Right Minimum

Many businesses looking to use the internet to raise capital (via the new exemptions made possible thanks to the JOBS Act) tend to get a little shocked at what it […]

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The Escrow “Problem” for Crowd-Sourced (aka funded) Offerings

Why is it so hard to find a bank that will act as escrow agent for direct-to-the-crowd offerings? There are two primary reasons for this, technology and risk. Technology: banks, law […]

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Early Problems in Reg A

At the birth of any new industry, the early players never “get it right” at first as there is always a learning curve and some growing pains. In the early […]

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Issuers ask: can I raise money without using a broker-dealer?

Issuers ask: can I raise money without using a broker-dealer? This is an extremely common question, and surprisingly difficult to answer. The situation: a company wants to raise money. It […]

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Blockchain vs Transfer Agents

Blockchain evangelists annoy me. Not because the technology isn’t cool. It is. But because they so often speak in overly excited, irrational fervor that makes more of it than it […]

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Portals Ask: What are the Keys to a Successful Title III Offering?

I’ve seen hundreds of deals go through our systems, many successful and some unsuccessful. What’s the difference between the two? What are the key to success? The deals that don’t […]

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Portals Ask: What’s a “Tombstone Ad”? Can I advertise my Title III offering?

Quick answers: ► Can a portal widely advertise an offering? No, probably not, it is likely to be viewed by regulators as a solicitation or recommendation by the portal (which is […]

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Every week I speak with issuers and their advisers about their plans for Reg A offerings. The conversation often drifts to “should we list on an exchange?” and “how do […]

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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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