Angel Investors Network

    Regulatory & Compliance

    SEC regulations, FINRA compliance, and securities law updates that impact angel investors, fund managers, and capital raisers. Reg D, Reg A+, Reg CF, and accredited investor rules explained.

    What a Form D Really Tells You: A $1.14 Billion Case Study
    Regulatory & Compliance

    What a Form D Really Tells You: A $1.14 Billion Case Study

    Jeff Barnes, MBA··11 min read
    Access Via Your Adviser Is Not Access on Your Own Terms: The SEC Private Markets Proposal Explained
    Regulatory & Compliance

    Access Via Your Adviser Is Not Access on Your Own Terms: The SEC Private Markets Proposal Explained

    Jeff Barnes, MBA··11 min read
    Qualified Purchaser vs Accredited Investor: What a New SEC Rule Reveals
    Regulatory & Compliance

    Qualified Purchaser vs Accredited Investor: What a New SEC Rule Reveals

    Jeff Barnes, MBA··11 min read
    FINRA Rule 5123 Expanded: What the New Family Office Exemption Means for Private Placement Compliance
    Regulatory & Compliance

    FINRA Rule 5123 Expanded: What the New Family Office Exemption Means for Private Placement Compliance

    Jeff Barnes, MBA··10 min read
    IRS Proposes New Information-Reporting Rules for Qualified Opportunity Zone Funds
    Regulatory & Compliance

    IRS Proposes New Information-Reporting Rules for Qualified Opportunity Zone Funds

    Jeff Barnes, MBA··11 min read
    The SEC's $80 Million Pacific Fund Case: Seven Red Flags Every Accredited Investor Should Know
    Regulatory & Compliance

    The SEC's $80 Million Pacific Fund Case: Seven Red Flags Every Accredited Investor Should Know

    Jeff Barnes, MBA··10 min read
    Wells Real Estate's $56 Million Ponzi Scheme Shows What Unregistered Broker-Dealers Actually Cost You
    Regulatory & Compliance

    Wells Real Estate's $56 Million Ponzi Scheme Shows What Unregistered Broker-Dealers Actually Cost You

    Jeff Barnes, MBA··10 min read
    SEC Charges Southern California Man in $940,000 Fake Trading Fraud: What Every Investor Must Check First
    Regulatory & Compliance

    SEC Charges Southern California Man in $940,000 Fake Trading Fraud: What Every Investor Must Check First

    Jeff Barnes, MBA··10 min read
    Accredited Investor Verification Services Explained
    Regulatory & Compliance

    Accredited Investor Verification Services Explained

    Jeff Barnes, MBA··10 min read
    ELTIF Explained: How Europe Opened Private Markets to Retail Money (And Why the US Hasn't)
    Regulatory & Compliance

    ELTIF Explained: How Europe Opened Private Markets to Retail Money (And Why the US Hasn't)

    Jeff Barnes, MBA··11 min read
    The Spaventa Playbook: How Pre-IPO Access Funds Became the SEC's Top Fraud Priority
    Regulatory & Compliance

    The Spaventa Playbook: How Pre-IPO Access Funds Became the SEC's Top Fraud Priority

    Jeff Barnes, MBA··10 min read
    ERA vs. RIA: What Adviser Registration Actually Protects You From
    Regulatory & Compliance

    ERA vs. RIA: What Adviser Registration Actually Protects You From

    Jeff Barnes, MBA··10 min read