Anna T. Pinedo

Anna T. Pinedo

Morrison & Foerster LLP

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It’s Not Crowdfunding!

Since the Regulation A+ effective date last month, a number of websites have emerged that promote “Regulation A+ crowdfunding” contributing even further to the confusion in the market regarding...more

7/14/2015 - Accredited Investors Broker-Dealer Capital Raising Crowdfunding Disclosure Requirements Emerging Growth Companies Final Rules Issuers JOBS Act Offerings Regulation A Rule 506 Offerings SEC Startups Title III

Annual Review of Federal Securities Regulation - The Business Lawyer, Vol. 70, Iss. 3

This Annual Review (“Review”) was prepared by the Subcommittee on Annual Review of the Committee on Federal Regulation of Securities of the ABA Business Law Section. The Review covers significant developments in federal...more

7/3/2015 - Accounting Controls Amended Regulation American Bar Association Conflicts of Interest Corporate Issuers Disclosure Requirements Internal Controls Privately Held Corporations Publicly-Traded Companies Regulatory Standards Risk Retention SEC Securities

House Holds Hearings on Bill to Ease BDC Restrictions

The Subcommittee on Capital Markets and Government Sponsored Enterprises of the House Financial Services Committee heard testimony on June 16, 2015 in support of proposed bills that would, among other things, increase the...more

6/26/2015 - Accredited Investors Business Development Companies Capital Markets Congressional Investigations & Hearings Proposed Legislation

SEC Guidance on Regulation A+

Section 182. Rules 251 to 263: Question 182.01 - Question: Where an issuer elects to non-publicly submit a draft offering statement for staff review pursuant to Rule 252(d) of Regulation A before publicly filing...more

6/26/2015 - Private Equity Private Offerings Regulation A SEC Securities Exchange Act Small Business Small Offering Exemptions

Structured Thoughts: News for the financial services community, Volume 6, Issue 4

In This Issue: - FINRA Requests Comments on Proposed Amendments to Rule 2210 and Issues Additional FAQs - FINRA’s Revised Sanction Guidelines - A Uniform Fiduciary Duty Standard and the Structured Products...more

6/24/2015 - Advertising CARDS Compliance Fiduciary Duty Fiduciary Standard FINRA Rule 2210 Sanctions Structured Financial Products Websites

Kauffman Foundation Study on Funding for Start-Ups

In a recent edition of its Entrepreneurship Policy Digest, the Kauffman Foundation provides interesting data on the types of funding relied upon by emerging companies. The report notes that approximately 40% of startup...more

6/15/2015 - Crowdfunding Emerging Growth Companies Investment Funds Startups

The Section “4(a)(1-1/2)” Exemption

At last week’s SEC Advisory Committee on Small and Emerging Companies meeting, the Committee recommended that the SEC formalize the exemption in order to promote capital formation. Currently, there also is a pending bill,...more

6/10/2015 - Accredited Investors Emerging Growth Companies Pending Legislation SEC Small Business Startups

OTC Markets Adopts Rule Changes

The OTC Markets has adopted rule changes for OTCQX and OTCQB to accommodate for Reg A + and require quarterly disclosure for the OTCQX marketplace. ...more

6/10/2015 - OTC Reg A+

Will Principles-Based Guidance be Easier to Follow?

Practitioners and market participants often complain that rules and regulations ought to be principles-based rather than prescriptive. In advocating for principles-based regulation, the argument is often made that the...more

6/3/2015 - Chief Compliance Officers Compliance Conflicts of Interest Due Diligence FINRA Investment Banks NASD SEC

FINRA Research Rule Guidance: The New Stages of Grief

Many market participants were left in a quandary following FINRA enforcement actions in connection with member firm research analyst “participation” in meetings with prospective issuers. Recently, FINRA published a handful...more

6/3/2015 - Enforcement Enforcement Actions Financial Analysts FINRA General Solicitation IPO Private Offerings

SEC Advisory Committee Agenda Published

The SEC announced that the next meeting held on June 3rd of its Advisory Committee on Small and Emerging Companies will focus on public company disclosure effectiveness, intrastate crowdfunding, venture exchanges, and...more

5/29/2015 - Emerging Growth Companies SEC SEC Advisory Committee

JOBS Act Bills Advance

The House Financial Services Committee approved 13 bills, many of which are JOBS Act related. The bills that were approved by the Committee are described here...more

5/28/2015 - Financial Services Committee JOBS Act Pending Legislation

House Financial Services Committee Mark-Up of JOBS Act Bills

On May 20th, the Committee will be meeting beginning at 10am in an open session to mark up eleven bills that relate to various capital formation and JOBS Act measures. We have reported on a number of these bills in prior...more

5/20/2015 - Funding JOBS Act Private Equity Small Business Startups

House Small Business Committee Hearing on P2P

Last week, the House Small Business Committee held a hearing to discuss the rise of peer-to-peer lending and the availability of capital for small businesses. The testimony from leaders in the P2P sector provides an overview...more

5/18/2015 - Loans Peer-to-Peer Small Business Startups

CFTC Reauthorization Bill Includes JOBS Act Fix

The House Agricultural Committee passed the CFTC authorization bill late last week, HR 2289. HR 2289 incorporates in Section 312 a provision that was part of a bill introduced by Congressman Fincher to harmonize the...more

5/18/2015 - CFTC Commodities Commodity Pool General Solicitation Investment Adviser Rule 506 Rule 506 Offerings

Part II of Congressional Hearings on Capital Formation Related Bills

Yesterday, May 13th, the Subcommittee on Capital Markets and GSEs held the second part of its hearings, “Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens,” at 2pm. ...more

5/14/2015 - Capital Formation Capital Markets Congressional Investigations & Hearings Proposed Legislation

MoFo Tax Talk Volume 8, Issue 1

In This Issue: - IRS Rules Debentures Are Part of Straddle; Interest Non-Deductible - Stock Abandonment Produces Ordinary Loss - Tax Consequences of Negative Interest Rates - Renewed Discussion of a...more

5/8/2015 - Corporate Taxes Debentures IRS Stocks

Structured Thoughts: News for the financial services community, Volume 6, Issue 3

In This Issue: - The National Senior Investor Initiative - SEC Commissioner Addresses Structured Notes - The SEC Defines “Voting Equity Securities” Under the Rule 506(d) Bad Actor Disqualification...more

5/4/2015 - Elder Abuse Elder Issues Financial Services Industry FINRA OCIE Rule 506(d) SEC Structured Financial Products

House Subcommittee to Consider JOBS Act Related Bills

Today, the Subcommittee on Capital Markets and Government Sponsored Enterprises of the House Financial Services Committee has scheduled a hearing entitled “Legislative Proposals to Enhance Capital Formation and Reduce...more

4/29/2015 - Capital Formation Capital Markets Congressional Investigations & Hearings Financial Services Committee JOBS Act Legislative Committees

Update on SEC Rulemaking

Chair White, addressing the Investor Advisory Committee, provided an update on SEC rulemaking. Chair White identified the following initiatives...more

4/13/2015 - Dodd-Frank Investor Advisory Committee Mary Jo White Rulemaking Process SEC

Regulation A+: Final Rules Offer Important Capital Raising Alternatives

Overview - Yesterday, March 25, 2015, the Securities and Exchange Commission voted unanimously to adopt final rules to implement the rulemaking mandate of Title IV of the JOBS Act by adopting amendments to Regulation...more

3/27/2015 - Final Rules Issuers JOBS Act Regulation A SEC Small Business

Promoting Capital Formation

Regulators and lawmakers in the US continue to review and consider measures that may promote capital formation for smaller and emerging companies. Although the number of initial public offerings (IPOs) in the US in 2014...more

3/27/2015 - Capital Formation Emerging Growth Companies IPO Private Placements Small Business

A-Okay, Regulation A+

This is a very brief, initial summary. We will be reporting on the final rule in an upcoming alert. The SEC’s proposed rules already had provided a very practical format for private issuers seeking to raise capital. The...more

3/26/2015 - Private Funds Private Offerings Private Placements Regulation A SEC Small Business Startups

Chair White’s Testimony on SEC Initiatives

In testimony today, Chair White provided a brief update on various rulemaking initiatives. She noted that, in connection with the Dodd-Frank Act mandates, the Division of Corporation Finance continues to work to implement...more

3/25/2015 - Dodd-Frank Executive Compensation JOBS Act Mary Jo White Regulation A SEC

On the Hill this Week….

On March 24th, the U.S. Senate Committee on Banking, Housing and Urban Affairs Subcommittee on Securities, Insurance and Investment will hold a hearing on “Capital Formation and Reducing Small Business Burdens.” Information...more

3/24/2015 - Capital Formation Financial Services Committee SEC Senate Banking Committee

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