Capital markets in the United States provide an unparalleled source of investment capital, measured in trillions of dollars. U.S. markets and rules allow companies to raise funds on an expedited and economically efficient...more
8/3/2022
/ Beneficial Owner ,
Capital Markets ,
Disclosure Requirements ,
Emerging Growth Companies ,
Executive Compensation ,
Exemptions ,
Framework Agreement ,
Initial Public Offering (IPO) ,
New Regulations ,
Safe Harbors ,
Securities Act of 1933 ,
Shareholders
The rule is an expansion of a popular modernization reform previously only available to emerging growth companies.
All issuers considering a registered securities offering will now be able to engage in “testing-the-waters”...more
10/31/2019
/ Accredited Investors ,
Corporate Issuers ,
Emerging Growth Companies ,
Initial Public Offering (IPO) ,
Institutional Investors ,
JOBS Act ,
New Rules ,
Public Offerings ,
Qualified Institutional Buyers ,
Registration Statement ,
Regulation D ,
Regulation FD ,
Rule 144A ,
Rule 163B ,
Securities Act ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Testing-the-Waters Communications
On February 19, 2019, the Securities and Exchange Commission (SEC) proposed a rule that would generally permit all issuers to “jump the gun”—that is, to make offers to certain institutional investors prior to the filing of a...more
2/26/2019
/ Accredited Investors ,
Comment Period ,
Emerging Growth Companies ,
Gun-Jumping ,
Institutional Investors ,
Merger Controls ,
Mergers ,
Proposed Rules ,
Qualified Institutional Buyers ,
Registration Statement ,
Regulation FD ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Tax Cuts and Jobs Act ,
Testing-the-Waters Communications
The so-called “Fixing America’s Surface Transportation Act” or “FAST Act” was signed into law on December 4, 2015. Buried in the legislation are changes to the JOBS Act and the Securities Act of 1933 that add a statutory...more