David M. Lynn

David M. Lynn

Morrison & Foerster LLP

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SEC Staff Provides Rule 506(c) Verification Guidance

The SEC Staff recently provided further guidance on the provisions of Rule 506(c) of Regulation D which permit the use of general solicitation and general advertising when sales are made only to accredited investors and the...more

7/8/2014 - Accredited Investors Advertising General Solicitation Issuers New Regulations Regulation D Rule 506(c) SEC Verification Requirements

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

Private Offerings: Questions that Might Frequently be Asked Sometime Soon (Part II)

Shortly after the Securities and Exchange Commission (SEC) adopted the final rule relaxing the prohibition against general solicitation in connection with offerings made pursuant to new Rule 506(c) and Rule 144A, we provided...more

10/3/2013 - Accredited Investors Bad Actors Disqualification Form D Filing General Solicitation Investors Private Offerings Regulation D Rule 144A Rule 506 Offerings SEC Social Media

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

10/1/2013 - Crowdfunding FINRA General Solicitation JOBS Act Private Offerings Proxy Statements Public Disclosure Public Offerings Regulation FD SEC Social Media

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

Private Offerings: Questions that Might Frequently be Asked Sometime Soon

Although the SEC’s final rule relaxing the ban on general solicitation in certain Rule 506 offerings and Rule 144A offerings was highly anticipated, the final rule leaves open or raises a number of interesting...more

7/24/2013 - Accredited Investors Advertising Dodd-Frank General Solicitation Marketing Private Placements Regulation D Rule 144A Rule 506 Offerings SEC

Goldilocks, Porridge and General Solicitation

Introduction - At long last, the U.S. Securities and Exchange Commission (SEC) took action today to implement rules that complied with the JOBS Act mandate to relax the prohibition against general solicitation in...more

7/11/2013 - Dodd-Frank General Solicitation Investor Protection JOBS Act Regulation D Rule 506 Offerings SEC Securities Act of 1933

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