Nicolas Morgan

Why is the SEC still suing an immigration attorney over accredited investor verification while moving to loosen the accredited investor definition? In SEC Roundup Episode 104, Nick Morgan and Tom Zaccaro talk with ICAN client Mona Shah about the SEC's Section 5 case over EB-5 offerings, Rule 506(c) verification, and what the SEC's Sept. 30 credential and FINRA exam proposal means for advisors, broker-dealers and other gatekeepers.

Mark Rockefeller has spent the better part of the last decade at the center of two very different experiments: proving that Regulation A+ could fund veteran-owned businesses at scale, and, more recently, trying to formalize what he calls “family governance” for ordinary households.

"If a credential can establish that a person is qualified to invest, then income and net worth were never measuring what the agency said they were measuring. That is welcome, and it is overdue. But adding names to the list of people allowed through the door is not the same thing as fixing the door.