This webinar focuses on the opportunities that crowdfunding makes available to the investor, and how the investor should go about navigating this new world. We begin with a basic overview of the new regulatory regime, the requirements to invest, and the on-boarding process one should expect. We then dive deeper into the market opportunity, including how to access and select investments, and expectations investors should set for themselves and the projects they select. This is not intended to support any specific deal selection, but instead sheds a light upon the basic selection criteria available, the method to go about investing and what to avoid.
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See more at https://www.financialpoise.com/webinars/
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To view the accompanying webinar, go to: https://www.financialpoise.com/financial-poise-webinars/crowdfunding-from-the-investors-perspective-2021/
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How can businesses use the tools created by the JOBS Act to access capital? This webinar compares raising money online to traditional methods of capital raising. It also compares each of the different titles available under the JOBS Act. Finally, we discuss and compare the differences between security based crowdfunding and rewards based crowdfunding, exploring those instances where such a method would make sense.
To view the accompanying webinar, go to: https://www.financialpoise.com/financial-poise-webinars/crowdfunding-from-the-start-ups-perspective-2021/
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How can businesses use the tools created by the JOBS Act to access capital? This webinar compares raising money online to traditional methods of capital raising. It also compares each of the different titles available under the JOBS Act. Finally, we discuss and compare the differences between security based crowdfunding and rewards based crowdfunding, exploring those instances where such a method would make sense.
Part of the webinar series: Crowdfunding 2022
See more at https://www.financialpoise.com/webinars/
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This webinar addresses crowdfunding portals and intermediaries. This episode begins with a basic overview of the various methods of crowdfunding, from donation and rewards based, to intra-state equity, debt, and finally securities based crowdfunding under Titles II, III and IV of the JOBS Act. Once those differences are understood, the webinar focuses on the need for intermediaries, the role that they can and sometimes must play, followed by a discussion on how the market has matured and where we see the market going in the online capital space. This webinar also discusses the risks and future of these intermediaries with the advent of the ICO and token distribution events.
To listen to this webinar on-demand, go to: https://www.financialpoise.com/financial-poise-webinars/securities-crowdfunding-for-intermediaries-2020/
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This webinar addresses crowdfunding portals and intermediaries. This episode begins with a basic overview of the various methods of crowdfunding, from donation and rewards based, to intra-state equity, debt, and finally securities based crowdfunding under Titles II, III and IV of the JOBS Act. Once those differences are understood, the webinar focuses on the need for intermediaries, the role that they can and sometimes must play, followed by a discussion on how the market has matured and where we see the market going in the online capital space. This webinar also discusses the risks and future of these intermediaries with the advent of the ICO and token distribution events.
Part of the webinar series: Crowdfunding 2022
See more at https://www.financialpoise.com/webinars/
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To view the accompanying webinar, go to: https://www.financialpoise.com/financial-poise-webinars/securities-crowdfunding-for-intermediaries-2021/
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How can businesses use the tools created by the JOBS Act to access capital? This webinar compares raising money online to traditional methods of capital raising. It also compares each of the different titles available under the JOBS Act. Finally, we discuss and compare the differences between security based crowdfunding and rewards based crowdfunding, exploring those instances where such a method would make sense.
To view the accompanying webinar, go to: https://www.financialpoise.com/financial-poise-webinars/crowdfunding-from-the-start-ups-perspective-2021/
CROWDFUNDING 2022 - Crowdfunding from the Start-Up's Perspective Financial Poise
How can businesses use the tools created by the JOBS Act to access capital? This webinar compares raising money online to traditional methods of capital raising. It also compares each of the different titles available under the JOBS Act. Finally, we discuss and compare the differences between security based crowdfunding and rewards based crowdfunding, exploring those instances where such a method would make sense.
Part of the webinar series: Crowdfunding 2022
See more at https://www.financialpoise.com/webinars/
Securities Crowdfunding for Intermediaries (Series: Crowdfunding 2020)Financial Poise
This webinar addresses crowdfunding portals and intermediaries. This episode begins with a basic overview of the various methods of crowdfunding, from donation and rewards based, to intra-state equity, debt, and finally securities based crowdfunding under Titles II, III and IV of the JOBS Act. Once those differences are understood, the webinar focuses on the need for intermediaries, the role that they can and sometimes must play, followed by a discussion on how the market has matured and where we see the market going in the online capital space. This webinar also discusses the risks and future of these intermediaries with the advent of the ICO and token distribution events.
To listen to this webinar on-demand, go to: https://www.financialpoise.com/financial-poise-webinars/securities-crowdfunding-for-intermediaries-2020/
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This webinar addresses crowdfunding portals and intermediaries. This episode begins with a basic overview of the various methods of crowdfunding, from donation and rewards based, to intra-state equity, debt, and finally securities based crowdfunding under Titles II, III and IV of the JOBS Act. Once those differences are understood, the webinar focuses on the need for intermediaries, the role that they can and sometimes must play, followed by a discussion on how the market has matured and where we see the market going in the online capital space. This webinar also discusses the risks and future of these intermediaries with the advent of the ICO and token distribution events.
Part of the webinar series: Crowdfunding 2022
See more at https://www.financialpoise.com/webinars/
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To view the accompanying webinar, go to: https://www.financialpoise.com/financial-poise-webinars/securities-crowdfunding-for-intermediaries-2021/
Crowdfinance -101 (Series: Crypto, Crowdfunding & Other Crazy Concepts)Financial Poise
What is the “crowd” in Crowdfinance? What does the crowd thus buy and by what means and modes? And why should the crowd do this rather than put its money to work otherwise? What are the old (and continuing) modes for marketing and selling private securities? What is it like to purchase private securities from on-line portals? How are risks of fraud and mistake allocated there? Do on-line portals help get the rest of us in on unicorns in utero? How are equity securities purchased by the crowd turned into money? Is there a secondary market for private securities? Should ICOs be understood as crowdfinance by other means?
To view the accompanying webinar, go to: https://www.financialpoise.com/financial-poise-webinars/crowdfinance-101-2021/
Presentation at the Vaughan, Ontario, Canada Business Series with Panelists: Jim Turner, VP of Ontario Securities Commission, Christopher Charlesworth and Hivewire, Adam Spence, SVX
Preparing for the Crowdfunding Revolution Dara Albright
A wave of financial innovation and regulatory reform is revolutionizing Wall Street and popularizing new asset classes aimed at democratizing the flow of capital and giving smaller investors and businesses greater opportunities to prosper. As a result, the financial services industry is undergoing a dramatic transformation that is rapidly rendering traditional banking and brokerage revenue models obsolete, conventional capital raising strategies unfeasible and typical asset class returns negligible. This is a must-view presentation for all broker-dealers, investment bankers, financial advisors, issuers and investors looking to capitalize on this surge of industry disruption. This presentation helps prepare investors, asset allocators and issuers for the forthcoming Crowdfunding Revolution. It is loaded with the latest financial and legal knowledge from renowned crowfund industry experts.
Overview & analysis of the market from Pre-Seed, to Seed, Later Stage Seed / Seed Extension, Series, A, B, C, D to the private IPO phenomenon - understanding trends - which are crowded, overpriced, underpriced and key risk points
Why investing now is more attractive than ever before
What industries, sectors, company stage and geographies are best for you
Convertible notes - key points and the meaning beyond the moving parts
Priced equity rounds - key points and the meaning beyond the moving parts
Valuation concepts on pricing valuations when investing, exiting and risk tied to perceived exit multiples
Portfolio construction strategies for angels and VCs - how to allocate your capital
Best practices for sourcing deal flow and conducting due diligence
Tactics to get into oversubscribed deals
Strategies for continuing to invest in portfolio companies a 2nd, 3rd, 4th, 5th time, etc
Best practices for post investment information rights, governance, adding value and Different options to invest ranging from Angel List, to other investor platforms, angel groups, demo days, accelerators, VC funds, SPVs, tax breaks for UK, EU and Israeli taxy payers
Different options to get liquidity on the secondary market before definitive liquidity event for startup / how to sell some stock before the final exit
Private Offering Exemptions and Private Placements (Series: Securities Law Ma...Financial Poise
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To listen to this webinar on-demand, go to: https://www.financialpoise.com/financial-poise-webinars/private-offering-exemptions-and-private-placements-2020/
Small businesses in North Carolina will soon be permitted to raise up to $2 million from average investors with certain limits. This is the result of legislation passed by the North Carolina General Assembly in July 2016. Businesses that use the “Invest N.C. exemption” can utilize the Internet to organize such a fundraiser. However, firms must follow certain regulations, including requirements on how much can be raised from each investor, what kind of financial information must be disclosed, and periodic reporting requirements to keep investors informed. The N.C. Securities Division will oversee administration of the crowdfunding exemption.This seminar is planned as an overview of investment crowdfunding for businesses that may want to utilize this option. The speaker will cover the following:
-a regulatory overview and how crowdfunding fits within securities laws
-the legal do’s and don’ts of a crowdfunding offering
-the marketing aspects
-what you can say and how to reach investors
-utilizing a web site intermediary – picking one and connecting with investors.
In 2013, the ban on general solicitation of accredited investors was lifted, causing the largest change to securities laws in decades. While everyone from startups to hedge funds will enjoy new liberties in investor marketing and outreach campaigns, it’s critical that the new rules are followed to a T, eliminating the chance for exemption rescission.
This presentation provides start up managers with an overview of the fund formation process and details many of the hedge fund laws and regulations. A full voice-over of this presentation can be found at www.hedgefundlawblog.com.
Raising Capital: Negotiating with Potential InvestorsFinancial Poise
Every business needs capital (cash) to fund its activities. But not all capital is created equal. At the most macro level, a business can raise cash by selling equity or by borrowing (and these alternatives are not by any means mutually exclusive).
This webinar explains the different types of capital available to fund a startup; how to identify potential funding sources; how to evaluate competing funding proposals; and how (and when) to negotiate financing terms. In addition, this webinar will address the kinds of investors for entrepreneurs to consider for their start-ups.
Part of the webinar series: The Start-Up/Small Business Advisor 2022
See more at https://www.financialpoise.com/webinars/
Crowdfunding and Other Innovative Private Fundraising Optionsideatoipo
Raising money for your startup via traditional channels can be a challenge. The advent of crowdfunding and other innovative private funding options for entrepreneurs has democratized the fundraising landscape.
The private fundraising environment has dramatically changed in recent years as a result of new technologies, laws and business models. In addition to traditional private placements, the private fundraising marketplace now includes internet portals, publicly solicited accredited-only financings and crowdsourced investment funds.
The speaker will discuss new sources of private financing and the consequent business and legal issues including:
•Non-solicited private placements of securities under Rule 506(b) of Regulation D;
•Publicly solicited accredited-only offerings of securities under Rule 506(c) of Regulation D;
•Regulation of investment advisers and broker- dealers;
•Reg CF and Reg A+ crowdfinancing
• Conducting an ICO (Initial Coin Offering).
and more!
Raising Capital: Negotiating with Potential Investors (Series: The Start-Up/S...Financial Poise
Every business needs capital (cash) to fund its activities. But not all capital is created equal. At the most macro level, a business can raise cash by selling equity or by borrowing (and these alternatives are not by any means mutually exclusive).
This webinar explains the different types of capital available to fund a startup; how to identify potential funding sources; how to evaluate competing funding proposals; and how (and when) to negotiate financing terms. In addition, this webinar will address the kinds of investors for entrepreneurs to consider for their start-ups.
To view the accompanying webinar, go to: https://www.financialpoise.com/financial-poise-webinars/raising-capital-negotiating-with-potential-investors-2021/
IP-301 POST-GRANT REVIEW TRIALS 2022 - Things to Consider Before You FileFinancial Poise
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Part of the webinar series: IP-301 POST-GRANT REVIEW TRIALS 2022
See more at https://www.financialpoise.com/webinars/
This segment will discuss the statutory and procedural background of post-grant review proceedings. It will discuss the types of proceedings available and provide a high-level discussion of how the proceedings are conducted.
Part of the webinar series:
IP-301 POST-GRANT REVIEW TRIALS 2022
See more at https://www.financialpoise.com/webinars/
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NEWBIE LITIGATOR SCHOOL - Part I 2022
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Part of the webinar series:
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CROWDFUNDING 2022 - Crowdfunding from the Investor's Perspective
1.
2. 2
Practical and entertaining education for
attorneys, accountants, business owners and
executives, and investors.
3. Disclaimer
The material in this webinar is for informational purposes only. It should not be considered
legal, financial or other professional advice. You should consult with an attorney or other
appropriate professional to determine what may be best for your individual needs. While
Financial Poise™ takes reasonable steps to ensure that information it publishes is accurate,
Financial Poise™ makes no guaranty in this regard.
3
5. Meet the Faculty
MODERATOR:
Maureen Murat - Crowdie Investors
PANELISTS:
Jordan Fishfeld - OpenFinance and CFX Markets
Oscar Jofre - KoreConX
5
6. About This Webinar-
Crowdfunding from the Investor’s Perspective
This webinar focuses on the opportunities that crowdfunding makes available to the investor,
and how the investor should go about navigating this new world. We begin with a basic
overview of the new regulatory regime, the requirements to invest, and the on-boarding process
one should expect. We then dive deeper into the market opportunity, including how to access
and select investments, and expectations investors should set for themselves and the projects
they select. This is not intended to support any specific deal selection, but instead sheds a light
upon the basic selection criteria available, the method to go about investing and what to avoid.
6
7. About This Series: Crowdfunding 2022
Since the passage of the Securities Act of 1933 and the Exchange Act of 1934, no regulatory change has
had such an impact on the capital markets and flow of capital for investors and entrepreneurs alike as
the JOBS Act. Originally intended to encourage the funding of small businesses, and passed under the
Obama Administration, Title III of the Act, or the CROWDFUND Act, has become a major source of
opportunity and stress. This Series explores the numerous titles of the JOBS Act, expanding from the
legal definition of crowdfunding, meaning only Title III, to the more common use, meaning capital raising
by public solicitation. This includes components of Title II, Title III and Title IV. This webinar spends little
time discussing the legal nuances, and focuses more on the practical application and use cases, along
with the opportunities and pitfalls of the new legislation.
Each Financial Poise Webinar is delivered in Plain English, understandable to investors, business owners, and
executives without much background in these areas, yet is of primary value to attorneys, accountants, and
other seasoned professionals. Each episode brings you into engaging, sometimes humorous, conversations
designed to entertain as it teaches. Each episode in the series is designed to be viewed independently of the
other episodes so that participants will enhance their knowledge of this area whether they attend one, some, or
all episodes.
7
8. Episodes in this Series
#1 Crowdfunding from the Start-Up's Perspective
Premiere date: 09/22/22
#2: Securities Crowdfunding for Intermediaries
Premiere date: 10/20/22
#3: Crowdfunding from the Investor's Perspective
Premiere date: 11/17/22
8
11. Regulated Investment-Based Crowdfunding
● Investment based securities offerings and sales must either be registered with
the SEC and offered publicly or exempt from registration and offered privately,
usually under Regulation D
12. JOBS Act Exemptions
● Title II
○ Regulation D, Rule 506(c)
● Title III
○ Regulation CF
● Title IV
○ Regulation A+
13. Accredited Investors Defined
Accredited investors include natural persons who:
● possess a net worth (alone or with spouse) greater than $1 million (excluding
value of home, and not counting home mortgage as a liability, unless it is
underwater) or
● have an annual income greater than $200,000 (or joint income with spouse
greater than $300,000) in the 2 most recent years, and reasonable expectation
of similar or higher income in the current year
14. Title II
● Update to traditional Reg D offering
○ General solicitation is allowed, but shifts the burden for accreditation
verification to the issuer.
○ No limit on how much issuer may raise in 1 year
○ Accredited investors only may invest
○ No limit on investment amount by those verified accredited investors
● Most common form of crowdfunding we see today
15. Title II
● Exempt from state registrations
● Can be sold through portals that do not need to register with the SEC
● Limited to 2000 shareholders before public filing required
● Available to foreign investors
● No ongoing reporting required, but suggested
16. Title III
● Issuer limited to raising $1 million in 1 year, which grows and is now 1.06 million
● Anyone may invest, but investments are limited to income and net worth
● General solicitation allowed, but only through registered portals
● Issuers may rely on investors for income and net worth statements, unlike 506(c)
17. Title III
● Moderation ongoing reporting required
○ Intermediaries must provide “investor education” on their portals and
platforms to teach investors, for example, risks of investing in private
equity, including loss and illiquidity and conduct background checks on
officers, directors, and 20% equity-holders of each issuer, and disqualify
same if any one of them is a bad actor
● Not available to foreign investors
18. Title IV
● Issuer limited to raising $20 million (Tier 1) or $50 million (Tier 2) in 1 year
● Anyone can invest, no accreditation required
● Investment amount unlimited (Tier 1) or tied to income and net worth (Tier 2
10% of either per deal)
● Blue Sky review for Tier 1 but not Tier 2
● General solicitation permitted
19. Title IV
● Substantial pre-fundraising requirements and post-fundraising requirements
○ Must submit information to the SEC for approval
○ For Tier 2, must have audited financials
○ Ongoing reporting in details, akin to a mini-public company for Tier 2
securities
● No foreign investors, except Canadians
20. Due Diligence
● What type of due diligence should an investor complete:
○ Platform diligence
○ Personal diligence
○ Deal Diligence
21. Platform Considerations
● Does the investment platform curate its offerings or is it a billboard?
● Is the issuer appropriately registered as a business entity?
● Where in the process is the issuer as a growing company?
● Where do the financial projections of the issuer come from?
22. Personal Considerations
● Invest individually, or through a trust or some other entity
● What tax consequences will follow from choice of investment vehicle
● What are your rights or liabilities if the investment fails
23. Deal Diligence
● Review the terms and financials of the deal
● Use third party data sources to verify all assumptions
● Try to meet with the management team or at least have a call
● Understand the risks
● Never invest what you can’t afford to lose
● If it is too good to be true, it probably is
24. What to Consider When Investing
● Am I knowledgeable about this investment category
● How does this investment fit within my portfolio
● Does the Sponsor have a particular expertise in the area I am investing
● Can this investment be made in a tax-beneficial account
● What are your liquidity options with this investment, and does that matter
26. About The Faculty
Maureen Murat – Maureen@crowdieinvestors.com
Maureen L. Murat is an Assistant General Counsel with the D.C. Department of Insurance, Securities and
Banking where she provides legal advice and guidance on regulatory matters relating to banking, finance and
fintech. Maureen is an Adjunct Professor at the University of New Hampshire, Franklin Pierce School of Law,
where she teaches Tokenomics and Cryptocurrency Regulations and Smart Cities, Smart Government. She is
also a summer instructor at Columbia University, School of Professional Studies and teaches in the courses:
Blockchain, Cryptocurrencies, AI and Beyond; Understanding Blockchain, AI and Machine Learning
In her spare time, Maureen serves as principal of Crowdie Advisors, LLC,a business consulting firm dedicated
to helping entrepreneurs and small businesses form business entities, transact business (strategy, planning and
problem-solving), and obtain financing via equity crowdfunding. She is a partner with Axes and Eggs, a
blockchain think tank and digital advisory firm that focuses on blockchain consulting, education courses for
executives and digital advisory services.
26
27. About The Faculty
Jordan Fishfeld – JFishfeld@gmail.com
Jordan is the co-founder and board member of OpenFinance and CFX Markets, an online trading platform for
non-public investments that is transforming how people view and hold alternative asset positions. CFX
Markets is venture-backed with offices in Chicago, New York and California. As an early innovator in the
crowdfunding space, Jordan assisted on the rule development of many online capital and crowdfunding rules in
a number of different states and federally. Jordan is also the elected Treasurer of the Crowdfunding
Professional Association (CfPA), and continues to advocate and educate on behalf of the crowdfunding
industry. Additionally, Jordan is a board member of the young professional real estate division of the Jewish
United Fund and a Board Member of UpStart, a San Francisco based accelerator focused on Jewish
engagement and innovation. As a result of Jordan’s passion for working with the Jewish Community, he was
also named by Oy Chicago and the Young Leadership Division of the JUF as one of Jewish Community’s 36
under 36. Prior to that, Jordan worked as a finance attorney for Katten Muchin Rosenman, LLP, where he
assisted on more than $1 billion worth of syndicated loan transactions.
27
28. About The Faculty
Oscar Jofre – Oscar@koreconx.com
Oscar is Co-Founder President/CEO at KoreConX. He is currently one of the Top 10 Global Thought Leaders in
Equity Crowdfunding, a Top 5 Fintech Influencer, Top 10 Blockchain and a Top 50 InsureTech. He has
published an eBook that has been downloaded in over 20 countries, and been distributed by partners
worldwide. Oscar is a featured speaker on Fintech, regulated, equity crowdfunding, compliance, shareholder
management, investor relations, and transparency in the USA, Australia, UK, Germany, France, Netherlands,
Canada, Singapore, Indonesia and China. He speaks to audiences covering alternative finance, RegTech,
insurance, banking, legal, and crowdfunding. Oscar also advises the world’s leading research, accounting, law
firms and insurance companies on the impact Fintech, RegTech, LegalTech, InsurTech and OrgTech is having
in their business. He is a member of the Crowdfunding Intermediary Regulatory Advocates (CFIRA) in the USA,
and a contributing author to The Fintech Book, the world’s first crowdsourced book on Fintech globally. He
writes for Sharewise, Locavesting, Equities.com, Business.com, Crowdfund Insider, CrowdfundBeat, and
Agoracom. Oscar has been recognized as one of the 10 most influential Hispanic Leaders in Canada. In May
2010, Oscar A. Jofre Jr. was recognized by the Rt. Hon. Stephen Harper for his accomplishments. Oscar was
awarded the Vision 2012 Businessman of the Year by the Toronto Hispanic Chamber of Commerce on
September 2012.
28
29. Questions or Comments?
If you have any questions about this webinar that you did not get to ask during the live
premiere, or if you are watching this webinar On Demand, please do not hesitate to email us
at info@financialpoise.com with any questions or comments you may have. Please include
the name of the webinar in your email and we will do our best to provide a timely response.
IMPORTANT NOTE: The material in this presentation is for general educational purposes
only. It has been prepared primarily for attorneys and accountants for use in the pursuit of
their continuing legal education and continuing professional education.
29
32. About Financial Poise
32
DailyDAC LLC, d/b/a Financial Poise™ provides
continuing education to attorneys, accountants,
business owners and executives, and investors. It’s
websites, webinars, and books provide Plain
English, entertaining, explanations about legal,
financial, and other subjects of interest to these
audiences.
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