John Hempill

John Hempill

Sheppard Mullin Richter & Hampton LLP

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Latest Publications


A Change for the Better? The Arguments For and Against a Venture Exchange

With a total of 284 U.S. operating company IPOs in 2014, the U.S. securities market might appear to be on an upswing – after all, this was its biggest year since the dot com era ended in 2000. Nonetheless, this figure does...more

4/23/2015 - Equity Markets IPO Public Offerings Venture Funding

S.E.C. Adopts Final Rules Amending Regulation A

On March 25, 2015, the Securities and Exchange Commission adopted final rules amending its Regulation A, i.e., the so-called “Regulation A+ Rules”. Regulation A has been a little used provision in the securities laws due to,...more

4/6/2015 - Crowdfunding Final Rules IPO Issuers Public Offerings Regulation A SEC Small Offering Exemptions

Toward a Transactional Exemption for Emerging Company Investments

In “Bringing the Individual Accredited Investor Definition into the 21st Century,” which was posted on December 18th of last year, it was suggested that there might be certain common venture capital transactional structures...more

2/11/2015 - Accredited Investors Emerging Growth Companies Issuer Exemption Regulation D SEC Small Business Startups Venture Capital

Bringing the Individual Accredited Investor Into the 21st Century

On December 17, 2014, the SEC’s Advisory Committee on Small and Emerging Companies (the “Committee”) held its first meeting in over a year. The transcript and an archive of the webcast of the meeting are not yet available,...more

12/22/2014 - Accredited Investors Emerging Growth Companies Investor Advisory Committee SEC

Crowdfunding 2.0?

On October 24, 2013, the Securities Exchange Commission (the “SEC”) published proposed rules (Release Nos. 33-9470; 34-70741) to permit companies to offer and sell securities through “regulation” crowdfunding as proposed in...more

6/26/2014 - Crowdfunding JOBS Act Popular SEC

Setting The Record Straight On The New General Solicitation Rules

On September 23, 2013, the final rules eliminating the prohibition on general solicitation and advertising for certain offerings under Rule 506 went into effect. While this development was anticipated with much excitement by...more

11/12/2013 - Advertising Compliance Crowdfunding General Solicitation JOBS Act Rule 506 Offerings SEC

Crowdfunding Moves Forward: The SEC Issues Proposed Rules on Crowdfunding

On October 24, 2013, in accordance with Title III of the Jumpstart Our Business Startups Act (the “JOBS Act”), the Securities and Exchange Commission (the “SEC”) issued a press release and published long-awaited proposed...more

10/31/2013 - Crowdfunding JOBS Act SEC Securities Act of 1933 Title III

SEC Eliminates the Prohibition on General Solicitation for Rule 506 and Rule 144A Offerings

On July 10, 2013, the SEC adopted the amendments required under the JOBS Act to Rule 506 that would permit issuers to use general solicitation and general advertising to offer their securities, subject to certain limitations....more

7/15/2013 - Bad Actors Dodd-Frank Felons General Solicitation JOBS Act Regulation D Rule 144A Rule 506 Offerings SEC

Still Banned: General Solicitation in Rule 506 Offerings

Ten months have passed since the SEC proposed rules implementing the requirement of Title II of the JOBS Act that the prohibition against general solicitation and general advertising in Rule 506 be eliminated. Those proposed...more

7/1/2013 - Dodd-Frank General Solicitation Investors JOBS Act Rule 506 Offerings SEC

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