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Special Report on

Accredited Investor Rules

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Two small provisions of Sen. Chris Dodd’s bill to regulate the financial industry are drawing the attention of angel and venture capital investors. Both affect so-called accredited investors: wealthy individuals deemed savvy enough to navigate the shoals of backing start-up companies. One would let states regulate the sale of securities to such investors; the other recommends raising the net-worth standard that defines such investors to account for inflation. Bloomberg News Will Sen. Dodd get the message? The provisions were in earlier drafts of the sweeping Senate bill -  expected to reach the Senate floor in April - but ...
(or Reg D) contains the rules providing exemptions from the registration requirements, allowing some companies to offer and sell their securities without having to register the securities with the SEC. A Regulation D offering is intended to make access to the capital markets possible for small companies that could not otherwise bear the costs of a normal SEC registration. The regulation is found under Title 17 of the Code of Federal Regulations , part 230, Sections 501 through 508. The legal citation is 17 C.F.R. §230.501 et seq. Reg D is composed of various rules dictating the qualifications needed to meet the SEC exemptions. ...
Investment FAQ
I'm going to be getting into stocks pretty soon(within the next month.) For immediately I'm using all of my free time researching every single article on stocks I can find, I'm practicing on Investopedias Stock Simulator, I'm simply... About S-1 Approval Letters? How can I get copies of S-1 Approval Letters issued by the SEC? I aim get them in need having to reimburse an advisory service hundreds of dollars for them. Can I get them directly from the SEC? If so, how do... About stocks can u buy and mart same light of day if you stock is underneath a dollar? can u buy and sale same year stock under 1.00 About ... market research, surveys and trends
JustinIdea: SEC Rules on "Accredited Investors"
While doing some research on angel investors, I came across an SEC rule that made me wonder how useful it actually was.  Rule 501 of Regulation D regulates who is able to be labeled an " accredited investor " so that a company raising private capital does not need to register with the SEC.  When looking through the requirements, I was surprised to find the income and asset limits the SEC places on companies that take capital on the private market.  Using these requirements, neither of my parents would be able to invest in a company I create without being first affiliated with the company as a director or employee. market research, surveys and trends


Hanson Bridgett LLP : Newsletters : Business Brief : Private ...
On November 10, 2009, Senator Christopher Dodd (D-CT), Chairman of the Senate Committee on Banking, Housing and Urban Affairs, released the 1,136-page Restoring American Financial Stability Act of 2009 (the “Act”). The Act has attracted attention mainly for its proposed overhaul of the regulation of financial institutions and introduction of substantial changes in corporate governance and executive compensation for all US public companies. The Act is also noteworthy for its potential to significantly change the rules applicable to private investments and who has the power to regulate such investments. For the ... industry trends, business articles and survey research
Mar 17, 2010 ... responsible for up to 90 percent of the outside equity raised by start-ups .... of the angel and VC markets are roughly the same - $20-$30 billion per ... elimination of federal regulation of accredited investor rules to ... industry trends, business articles and survey research
Dodd-Frank Bill reshapes businesses
The passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Bill") represents the most ambitious and thorough regulatory reform of the laws governing the financial industry since the Great Depression. Please log in below to access the full article. If you are not an existing Lexology subscriber, please register for the free daily legal newsfeed service here . This report summarizes the major provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) passed by the U.S. House of Representatives on June 30, 2010 and awaiting approval by the ... market trends, news research and surveys resources
Fannie ,Freddie, Dodd And Frank: Real Estate Practices Adjusted
It is a largely unanimous opinion that the ongoing real estate collapse in almost all areas of the country was in large part caused by lenders lowering, or ignoring, standards relating to home mortgage qualifications. Lending institutions were bailed out, closed and re-packaged under another brand, and forced to tighten lending requirements. The medicine was bitter, but necessary. Apparently, the medicine was unacceptable to the wrong patients. Kenneth Harney, a respected columnist for the Washington Post, published a most interesting article today that states, effective September 1, 2010,that Fannie Mae will prohibit mortgage ... market trends, news research and surveys resources


Financial Services Practice
SEC Proposes New Antifraud and Accredited Investor Rules for. Private Fund Managers. Chicago. 35 West Wacker Drive. Chicago, IL 60601-9703. (312) 558-5600 ... technology research, surveys study and trend statistics
E. Regulation D and Rule 701
organizations that wish to qualify as accredited investors under Rule 501(a)(3) ... may be treated as an "accredited investor" as defined in that rule if it ... technology research, surveys study and trend statistics
Rule 501 -- Definitions and Terms Used in Regulation D
shall mean any person who comes within any of the following categories, or who the issuer reasonably believes comes within any of the following categories, at the time of the sale of the securities to that person: Any bank as defined in section 3(a)(2) of the Act, or any savings and loan association or other institution as defined in section 3(a)(5)(A) of the Act whether acting in its individual or fiduciary capacity; any broker or dealer registered pursuant to section 15 of the Securities Exchange Act of 1934; any insurance company as defined in section 2(a)(13) of the Act; any investment company registered under the ...
Do the SEC rules for Accredited Investors still make sense today ...
I write a weekly blog for accredited investors and received an interesting question from a reader about how relevant the current S.E.C. restrictions are for accredited investors in private placements. The S.E.C. set up the accredited investor rules (see requiring investors in private placement investments to have a net worth of at least $1 million dollars (outside of primary residence) and/or an income of at least $200,000 for the past two years with at least the same expectation for the current year. These rules were established after many scam investments in the early 20th century lost ...
How can you cash in on Pre-IPO stocks that you currently own ...
have stocks in a company that has no IPOed but no longer with the company. Fully vested and looking to see what options are available. Thank you. Since the company is not public, there are no public options or public markets to be able to sell into. However, you can attempt to see if the company wants to buy back your shares. Price is a big question. Since there is no secondary market there is no true price for the stock. If the company has done independent and certified audits via a CPA firm which is expensive ($25,000+) to attempt to come up with a book value, that might be a better price discovery. To attempt a price above ...