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Category Archives: regtech

SEC Small Business Capital Formation Annual Report 2021

Very insightful details on the capital formation frontier from Martha Legg Miller & U.S. Securities and Exchange Commission (SEC) team. Of particular interest is p33. & p67. 

Posted byadminDecember 10, 2021December 10, 2021Posted in33Act, compliance, fintech, IPO, PreIPO, regtech, SPAC

the ‘33 Act protections have stood the test of time.

Remarks Before the Healthy Markets Association Conference by Chair Gary Gensler. #33Act #SPAC #IPO #PIPE #capitalmarkets #privateequity #preIPO https://www.sec.gov/news/speech/gensler-healthy-markets-association-conference-120921

Posted byadminDecember 9, 2021December 9, 2021Posted in33Act, fintech, IPO, regtech, SPAC

All in NYC Finds Cure

Interesting how a $3B class action lawsuit cures the China Virus.

Posted byjmar42September 9, 2020September 9, 2020Posted incompliance, fintech, regtechTags: chinavirus, classaction, covid19, kungflu, lawsuit, nyc, nyse

TCPA Defendant Proof of Consent

https://youtu.be/15K1-U8SVz0

Posted byJeffNovember 19, 2019February 10, 2020Posted incompliance, regtechTags: crm, ecommerce, fcc, proof of consent, salesforce, securelead, shopify, sms, tcpa, twilio, zoho

Rack Room Shoe TCPA Violation

Posted byJeffNovember 13, 2019February 10, 2020Posted incompliance, fintech, insurtech, regtechTags: compliance, fcc, lititgation, robo call, robo dialing, tcpa

FinCEN on Convertible Virtual Currencies

Posted byjmar42August 8, 2019August 10, 2019Posted infintech, regtech

Facebook Libra Enters the Big Leagues

Posted byadminJuly 16, 2019Posted inblockchain, regtechTags: calibra, libra

Blockchain Economic Forum 2019 Los Angeles

Posted byadminMay 3, 2019May 3, 2019Posted inblockchain, fintech, regtechTags: reg a, reg ats, reg cf, reg d, saft, sec
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