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Accredited Investors
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Book Synopsis Accredited Investors by : Martha-Jean Jennings
Download or read book Accredited Investors written by Martha-Jean Jennings and published by Nova Science Publishers. This book was released on 2014 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Under the federal securities laws, a company or private fund may not offer or sell securities unless the transaction has been registered with the SEC or an exemption from registration is available. Certain securities offerings that are exempt from registration may only be offered to, or purchased by, persons who are accredited investors. One principal purpose of the accredited investor concept is to identify persons who can bear the economic risk of investing in these unregistered securities. Of the existing criteria in the Securities and Exchange Commission's (SEC) accredited investor standard, many market participants identified net worth as the most important criterion for balancing investor protection and capital formation. This book examines market participants' views on the existing criteria for accredited investor status and alternative criteria.
Book Synopsis Securities and Exchange Commission by : U.s. Government Accountability Office
Download or read book Securities and Exchange Commission written by U.s. Government Accountability Office and published by Createspace Independent Publishing Platform. This book was released on 2017-08-03 with total page 70 pages. Available in PDF, EPUB and Kindle. Book excerpt: " Accredited investors who meet certain income and net worth thresholds may participate in unregistered securities offerings. GAO determined that the intended purposes of the accredited investor standard are to (1) protect investors by allowing only those who can withstand financial losses access to unregistered securities offerings and (2) streamline capital formation for small businesses. To qualify as accredited, SEC requires an investor to have an annual income over $200,000 ($300,000 for a married couple) or a net worth over $1 million, excluding a primary residence. The thresholds were set in the 1980s and 2010. The Dodd-Frank Wall Street Reform and Consumer Protection Act mandates GAO to study the criteria for qualifying individual investors as accredited. This report examines market participants' views on (1) the existing criteria for accredited investor status and (2) alternative criteria. To address these objectives, GAO conducted a literature review, examined relevant data, and interviewed domestic and foreign regulators and industry representatives to identify alternative criteria. GAO also conducted structured interviews of 27 market participants (including broker-dealers, investment advisers, attorneys, and accredited investors). "
Book Synopsis Securities and Exchange Commission by : A. Nicole Clowers
Download or read book Securities and Exchange Commission written by A. Nicole Clowers and published by . This book was released on 2013-08-26 with total page 69 pages. Available in PDF, EPUB and Kindle. Book excerpt: Accredited investors who meet certain income and net worth thresholds may participate in unregistered securities offerings. The intended purposes of the accredited investor standard are to (1) protect investors by allowing only those who can withstand financial losses access to unregistered securities offerings and (2) streamline capital formation for small businesses. To qualify as accredited, the Securities and Exchange Commission (SEC) requires an investor to have an annual income over $200,000 ($300,000 for a married couple) or a net worth over $1 million, excluding a primary residence. The thresholds were set in the 1980s and 2010. This report examines market participants' views on (1) the existing criteria for accredited investor status and (2) alternative criteria. Tables and figures. This is a print on demand report.
Book Synopsis Accredited investor definition and private securities markets by : Eva Su
Download or read book Accredited investor definition and private securities markets written by Eva Su and published by . This book was released on 2020 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Accredited Investor Crowdfunding: A Practical Guide for Technology Executives and Entrepreneurs by : Thomas E. Vass
Download or read book Accredited Investor Crowdfunding: A Practical Guide for Technology Executives and Entrepreneurs written by Thomas E. Vass and published by First Edition Design Pub.. This book was released on 2014-09-15 with total page 81 pages. Available in PDF, EPUB and Kindle. Book excerpt: The purpose of this book is to describe how an established technology company or an entrepreneur can use crowdfunding to raise capital from accredited investors. The book is targeted to small private technology companies, usually with less than 10 employees, and with more than 3 years of operational experience. Within the category of equity crowdfunding, there is a sub-category called "accredited investor" crowdfunding, characterized by investments made by investors who expect a profit, and generally will continue to support the enterprise over a longer period of time than the venture capitalist. Generally, the goal for the amount raised would be around $1 million. As is the case for most of the Reg D capital raised in 2012, the use of the capital is for business growth and expansion, in such items as new staff, sales and marketing, and new capital equipment. From a technological point of view, the capital would generally be used to improve an existing product or service, called a sustaining innovation. The book covers the steps and executive or entrepreneur follows to prepare and execute a crowdfunding project. It provides a detailed analysis of the 10 accredited investor crowdfunding websites currently in operation. This book is not about donor-based crowdfunding, or its near cousin, non-accredited investor crowdfunding. This book is intended for CEOs of technology companies and technology entrepreneurs who would like to learn more about this new technique of raising capital.
Book Synopsis Net Worth Standard for Accredited Investors (Us Securities and Exchange Commission Regulation) (Sec) (2018 Edition) by : The Law Library
Download or read book Net Worth Standard for Accredited Investors (Us Securities and Exchange Commission Regulation) (Sec) (2018 Edition) written by The Law Library and published by Independently Published. This book was released on 2019-01-21 with total page 38 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Law Library presents the complete text of the Net Worth Standard for Accredited Investors (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 We are adopting amendments to the accredited investor standards in our rules under the Securities Act of 1933 to implement the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Act requires the definitions of "accredited investor" in our Securities Act rules to exclude the value of a person's primary residence for purposes of determining whether the person qualifies as an "accredited investor" on the basis of having a net worth in excess of $1 million. This change to the net worth standard was effective upon enactment by operation of the Dodd-Frank Act, but it also requires us to revise our current Securities Act rules to conform to the new standard. We also are adopting technical amendments to Form D and a number of our rules to conform them to the requirements of the Act and to correct cross-references to former Section 4(6) of the Securities Act, which was renumbered Section 4(5) by Section 944 of the Dodd-Frank Act. This ebook contains: - The complete text of the Net Worth Standard for Accredited Investors (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
Book Synopsis The Complete Direct Investing Handbook by : Kirby Rosplock
Download or read book The Complete Direct Investing Handbook written by Kirby Rosplock and published by John Wiley & Sons. This book was released on 2017-04-28 with total page 368 pages. Available in PDF, EPUB and Kindle. Book excerpt: The practical guide to direct investing strategies and best practices The Complete Direct Investing Handbook provides comprehensive guidelines, principles and practical perspectives on this increasingly attractive private equity investment strategy. Interviews with leading family office investors, qualified private equity buyers, and top direct investing advisors provide essential insights, and attention to the nuanced processes of direct investing. The books is a hands-on resource for family offices and those investors interested in generating returns through private company ownership to be more effective in creating returns in a complex market. Direct investing best practices are explored in-depth, with guidance on strategy and the evaluation and assessment of various investment opportunities. The process begins with a codified and specific investment goal, and a robust strategy tailored to the investor's individual needs. Useful insight on 'narrowing the field' helps investors select the appropriate opportunities to meet their investment goals, and practical tools help streamline the process of capital deployment and in turn providing more opportunities to achieve desired returns. Despite the growing interest in direct investing, there is little public information available to investors and there is a lack of transparency into practical standards. This book bridges the gap between strategy and execution, with comprehensive guidance and real-world insights. Define and craft a focused investment thesis and appropriate timeline specific to your needs Identify the right type, size, duration, and risk profile aligned to your investment objectives Gain perspective on real-world direct investing and a deeper understanding of the risks and rewards Better understand best practices and institutional investment rigor to develop bespoke processes and policies that create better outcomes for independent investors Historically, extraordinary wealth has been created through equity in privately-held enterprise. Today, family offices and direct investors are looking more and more toward large capital deployment in early-stage and growth-oriented private equity investments, but are constrained by a lack of informed, established practices. The Complete Direct Investing Handbook provides the much-needed guidance and tools that can improve direct investment outcomes.
Book Synopsis Equity Crowdfunding for Investors by : David M. Freedman
Download or read book Equity Crowdfunding for Investors written by David M. Freedman and published by John Wiley & Sons. This book was released on 2015-05-20 with total page 306 pages. Available in PDF, EPUB and Kindle. Book excerpt: Learn the ins and outs of equity crowdfunding with this informative guide Equity Crowdfunding for Investors is a comprehensive, objective, and authoritative guide to the social and financial rewards of crowdfunding. Before now, angel investing – and the spectacular returns possible in this asset class – has been off-limits to all but the wealthiest Americans. Now equity crowdfunding portals allow the general public to buy shares in startups and fast-growing private companies for the first time in generations. This book provides the guidance individuals need to invest wisely, tempering the excitement of leading-edge technology, innovative business models, and exciting new brands with thorough, practical know-how – including investor limits and requirements, portfolio strategy, deal terms, and much more. Readers will learn the pros and cons of investing in equity crowdfunding so they can make an informed investment decision, as well as best practices for finding, researching, evaluating, and buying into potentially profitable startups. Digital components include tables, graphs, comparison charts, screen captures, checklists, and other tools that further enable readers to make suitable investment choices. Equity crowdfunding is a new, exciting, and evolving way for growing businesses to raise capital and for average investors to buy equity in those businesses. It has been hailed as a "game changer" in the private capital markets, particularly the angel investment asset class, which includes angel investing. This book shows readers how to take full advantage of this new avenue of investment, without being taken advantage of themselves. Make smarter investment decisions Avoid being ripped off Find the best information available Understand the SEC rules and limits Equity crowdfunding can produce huge returns. It also comes with huge risk. Some companies will succeed, but many will fail. Everyday investors can mitigate some risk and increase their chance of profit with the fundamental insight provided in Equity Crowdfunding for Investors.
Book Synopsis Accredited Investor Definition and Private Securities Markets by :
Download or read book Accredited Investor Definition and Private Securities Markets written by and published by . This book was released on 2023 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Sophistication or Discrimination? How the Accredited Investor Definition Unfairly Limits Investment Access for the Non-Wealthy and the Need for Reform by :
Download or read book Sophistication or Discrimination? How the Accredited Investor Definition Unfairly Limits Investment Access for the Non-Wealthy and the Need for Reform written by and published by . This book was released on 2023 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis General Solicitation under New Rule 506(c by : Douglas Slain
Download or read book General Solicitation under New Rule 506(c written by Douglas Slain and published by Douglas Slain. This book was released on 2013-08-17 with total page 36 pages. Available in PDF, EPUB and Kindle. Book excerpt: The new Rule 506 changes everything.The SEC has lifted an 80-year ban on general solicitation and start-ups and other Issuers for the first time can use public advertising to sell private offerings. Startups are now able to use advertising andgeneral solicitations to fund private placements!The new Rule 506 may prove to be the answer to the prayers of startups frustrated with existing fund sourcing platforms. But it also has hidden dangers that will cause many issuers to continue to use the "old Rule 506."Among the new Rule 506 strengths, observe:* The amount that can be raised is unlimited * There is no requirement for review of the offering under any Blue Sky laws (state securities regulations) * There is no review of the offering by the SEC* Solicitations can be online or offline * Solicitations can be made to anyone!Sales (as opposed to solicitations) must be to accredited investors, and issuers must be able to verify that any actual investor is "accredited." Also, proposed rules will require issuers to send the SEC all marketing copy; as of this writing, however, there is noneed to send copies of solicitation materials to the SEC (or to state regulators).Soon you will start to see the following:* Emails asking if you might be interested in learning about investing in someone's project* Videos of founders and entrepreneurs soliciting your interest in their projects * Links on websites inviting you to click through to learn more about an investment* Mobile apps with increasingly creative solicitationPrivate placement memorandum and related offering documents continue to be mandatory. Q: How has verification occurred until now?Issuers have relied on the investor's representation that he or she is an "accredited investor" under one of the categories in rule 501(a).Q: How will verification occur now?Under the new rules, issuers must take "reasonable steps to verify the accredited investor status." New Rule 506(c) (2) (ii) includes several non-exclusive methods to satisfy the verification requirement such as:* reviewing any IRS form that reports the purchaser's income for the two most recent years and obtaining a signed statement from the purchaser that he or she has a reasonable expectation of reaching the income level necessary to qualify as an accredited investor during the current year, or* reviewing bank, brokerage or other statements, and a consumer report from at least one of the nationwide consumer reporting agencies dated within three months, and obtaining a written representation from the purchaser that all liabilities necessary to make a determination of net worth have been disclosed, or* obtaining written confirmation from a registered broker-dealer, SEC-registered investment adviser, licensed attorney or certified public accountant that the issuer has taken reasonable steps to verify the purchaser's accredited investor status.Note that there is a "grandfather" provision in new Rule 506(c) (2) (ii) (D). For existing investors who were accredited investors in a Rule 506(b) offering prior to the effective date of Rule 506(c), a self-certification of accreditation status at the time of sale in a new offering by the same issuer under Rule 506(c) will satisfy the verification requirement in Rule 506(c).Q: What is general solicitation?General solicitation or general advertising includes using websites accessible to the general public, using a widely disseminated email or social media campaign, or using print media, such as a newspaper or magazine ad. Issuers are not required to use general solicitation and may continue to engage in private placements as they did under "old Rule 506" under new Rule 506(b). Form D is being revised to add a box that must be checked by those issuers who use general solicitation or general advertising in the offering.
Book Synopsis On Regulating Investors by : Mercer Bullard
Download or read book On Regulating Investors written by Mercer Bullard and published by . This book was released on 2014 with total page 6 pages. Available in PDF, EPUB and Kindle. Book excerpt: This abstract sketches novel approaches that the Securities and Exchange Commission may consider when evaluating the accredited investor standard in 2014 and 2015. The current standard is internally inconsistent and contradicts modern portfolio theory, and alternative approaches in other contexts -- especially crowdfunding rules -- provide a model for fixing this longstanding problem.
Book Synopsis Accredited Investor Crowdfunding by : Laurie Thomas Vass
Download or read book Accredited Investor Crowdfunding written by Laurie Thomas Vass and published by . This book was released on 2017-01-19 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: The world of raising capital is rapidly changing for CEOs of technology and real estate firms. The biggest benefit is that CEOs are not dependent on traditional sources of capital, like venture capital firms. CEOs can set their own terms and conditions, and can market and promote their securities to raise an unlimited amount of capital, from and unlimited number of accredited investors. This book is designed to help CEOs better understand the benefits of conducting the new Reg D Rule 506c private offering. Once a CEO learns how to raise capital this new way, the CEO will never go back to the old way of doing things.
Download or read book Fool's Gold? written by Scott Shane and published by Oxford University Press. This book was released on 2008-11-12 with total page 381 pages. Available in PDF, EPUB and Kindle. Book excerpt: The stereotype of the "angel investor" is a retired wealthy entrepreneur who sees potential, asks tough questions, takes a large stake, and in a few years makes a massive return in an IPO. This outsider fills the gap between the venture capitalist and the professional investor, swooping in with cash and expertise to bring dreams to fruition. Unfortunately, Shane observes, this figure bears no relationship to reality. In Fool's Gold, he draws on hard data from the Federal Reserve and other sources to paint the first reliable group portrait of the lionized angel investors. Surprisingly, he finds that they are fewer, contribute less, and involve themselves in fewer start-ups than the conventional wisdom suggests. Most angels typically still have their day jobs, make investments of $10,000 or less, and take little or no role in assisting entrepreneurs build their companies. Few of the companies they put money into arrive at IPOs, let alone massive returns. But angels can play a critical role, he writes, if the fantasy is abandoned by all concerned. Drawing on his rich store of data, Shane offers recommendations to entrepreneurs and angels alike for the most productive use of angel investing, and suggests how policymakers can encourage it. Particularly promising are angel groups, which pool knowledge and money for wiser and more productive investments. In groups, angels can rely on each other's expertise, share the labor of performing due diligence, and generally insure that their money is being placed--and used--wisely. Fostering the formation of such groups may be the single most important thing that government can do to boost angel investing. Massively researched and briskly written, Fools' Gold offers the first real resource on this misunderstood aspect of our entrepreneurial system.
Book Synopsis The 3 Simple Rules of Investing by : Michael Edesess
Download or read book The 3 Simple Rules of Investing written by Michael Edesess and published by Berrett-Koehler Publishers. This book was released on 2014-06-16 with total page 264 pages. Available in PDF, EPUB and Kindle. Book excerpt: Don’t believe the hype: Tips from financial professionals on recognizing and avoiding overpriced, overcomplicated, and overly risky investments. What if the most effective investment portfolio was also the easiest to manage and the least expensive? As the authors of this clear, practical, and enlightening book—part financial guide, part exposé—prove, there are just three simple rules you need to follow and only a few, very inexpensive investment products that are necessary for an ideal portfolio. The authors deftly bust investing’s myths—what they call investing’s Seven Deadly Temptations—and dispense with all the complicated, confusing, and self-serving advice of the Wall Street wolves. By embracing commonsense solutions and rejecting investments that seem enticing but are overpriced, needlessly complex, and risky, you’ll put not only yourself in a stronger position, but the entire economy as well
Book Synopsis The Alternative Answer by : Bob Rice
Download or read book The Alternative Answer written by Bob Rice and published by Harper Collins. This book was released on 2013-05-14 with total page 214 pages. Available in PDF, EPUB and Kindle. Book excerpt: The first book to explain the new world of alternative investing, showing how anyone can use nontraditional options to significantly increase returns and lower risks The world's elite investors have long relied on alternative investments to produce superior returns. Until now, these strategies were the exclusive purview of institutions and the superwealthy, but today any informed investor can play the same game. A rainbow of investment options—timber, start-ups, master limited partnerships (MLPs), hedged strategies, managed futures, infrastructure, peer-to-peer lending, farmland, and dozens of other nontraditional strategies—can provide dramatically better gains, with less total risk, than the standard choices. In The Alternative Answer, Bob Rice, Bloomberg TV's Alternative Investments Editor, leads an entertaining and easy- to-understand tour of this world, and suggests specific alternative investments for all four key "jobs" of a portfolio: safely generating more current income, decreasing risks of economic shocks, significantly increasing long-term profits, and protecting purchasing power over time. Regardless of experience or net worth, readers will learn exactly how to substantially improve investment performance—in the same way that the world's best investors already do. Stocks and bonds alone aren't nearly enough. Investors need an alternative answer and now they have it.
Download or read book Regulation A+ written by Paul Getty and published by Apress. This book was released on 2015-11-27 with total page 277 pages. Available in PDF, EPUB and Kindle. Book excerpt: Discover how to raise money under new provisions in the recently enacted JOBS Act. Regulation A+: How the JOBS Act Creates Opportunities for Entrepreneurs and Investors will guide and advise executives of emerging growth companies, entrepreneurs, financial advisers, venture capitalists, investment bankers, securities lawyers, finance and MBA students, and others on how to raise up to $50 million a year through streamlined regulations. Signed by President Obama on April 5, 2012, Title IV of the JOBS Act amends the 1930s-era Regulation A, making it far easier for businesses to raise growth capital through public offerings. It is, in effect, a new type of IPO but with much less regulation and cost. Regulation A+: How the JOBS Act Creates Opportunities for Entrepreneurs and Investors spells out new processes that can and will have a dramatic impact on how companies obtain growth capital to create new jobs and bolster returns for investors. Some financial gurus believe that the new law, dubbed Regulation A+ due to the enhancements, will usher in a revolutionary period of growth and innovation comparable to our largest past economic expansions. To date, much of the commentary on the JOBS Act has focused on Title III, which allows broader use of crowdfunding to raise up to $1 million per year. However, many entrepreneurs and economists believe that new changes to Regulation A will have a much greater impact on innovation and job creation. The best part? Regulation A+ lifts many constraints on soliciting funds and trading new stock issues. Among other things, readers of this book will learn how to take advantage of these provisions: Regulation A+ permits companies to raise up to $50 million, a tenfold increase over the old limit of $5 million, and much more than the crowdfunding provisions of the JOBS Act ($1 million). Regulation A+ allows companies to market IPOs to more people than just accredited investors and makes it easier to get the word out on offerings. Regulation A+ allows certain companies to avoid the SEC periodic reporting regimen (Form 10-K, Form 10-Q, Form 8-K, and proxy statements), provided that the number of shareholders is kept below revised thresholds. Regulation A+ exempts certain companies from many onerous and costly compliance requirements, including Sarbanes-Oxley. In short, Regulation A+ greatly simplifies the capital-raising process, making it easier to grow companies, create jobs, and reward investors.
