David M. Lynn

David M. Lynn

Morrison & Foerster LLP

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Standing out from the Crowd: A Closer Look at the SEC’s and FINRA’s Proposed Crowdfunding Rules

In this alert, we provide a detailed overview of the proposed regulatory framework that will be applicable to crowdfunding offerings conducted pursuant to Title III of the JOBS Act in reliance on Section 4(a)(6) of the...more

11/18/2013 - Broker-Dealer Crowdfunding FINRA Funding Portal Investment Company Act of 1940 JOBS Act SEC Securities Act of 1933 Subsidiaries

JOBS 2.0 Hearing Rescheduled

On October 24, 2013, the House Subcommittee on Capital Markets and GSEs will hold a hearing on “Legislative Proposals to Reduce Barriers to Capital Formation.” The hearing was originally scheduled for earlier in the month,...more

10/22/2013 - Broker-Dealer CFTC General Solicitation GSE IPO JOBS Act SEC

Reminders for Issuers That Intend to Use General Solicitation

Privately held operating company issuers (as distinguished from private funds) should plan ahead if they intend to use general solicitation for Rule 506(c) offerings after September 23, 2013. Here are just a few...more

9/16/2013 - Bad Actors Broker-Dealer Dodd-Frank General Solicitation JOBS Act Regulation D Rule 506 Offerings

The Guide to Social Media and the Securities Laws

REGULATION FD - Beginning in 1999 and continuing into 2000, media reports about selective disclosure of material nonpublic information by issuers raised concerns that select market professionals who were privy to this...more

9/9/2013 - Accredited Investors Broker-Dealer Crowdfunding Disclosure Requirements Filing Requirements FINRA GAAP Investment Adviser Issuers JOBS Act Material Nonpublic Information Private Offerings Proxy Solicitations Public Offerings Recordkeeping Requirements Regulation FD SEC Social Media Third-Party Liability

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