Investors with more expertise than resources will be allowed to participate in deals alongside accredited investors
The regulator has proposed a new mechanism to replace Northwestern exemption
A hearing panel ordered a penalty that was lower than what enforcement staff sought
The volume and value of exempt financings was steady in 2019, while investor participation rose
Proposed exemption would allow non-accredited investors to self-certify their sophistication
Proposals aim to clarify issuer requirements, bolster investor insight
An Alberta firm refused to compensate a harmed investor
DealSquare 2.0 promises “full digitization” of the private placement process
Fraudsters could exploit stock market turmoil, regulators warn
The group says investors need greater protections and oversight in private offerings