Nilene Evans

Nilene Evans

Morrison & Foerster LLP

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Equity capital markets in the United States: regulatory overview

What are the main equity markets/exchanges in your jurisdiction? Outline the main market activity and deals in the past year. Main equity markets/exchanges - The primary US public equity markets are the...more

3/26/2014 - Capital Markets Financial Regulatory Reform NYSE Private Equity

NASAA Comments on SEC’s Regulation A+ Proposal

Not unexpectedly, on February 19, 2014, the North American Securities Administrators Association sent a letter to the SEC objecting to the preemption of state authority over small corporate offerings by the SEC in its...more

2/24/2014 - Mary Jo White NASAA Regulation A SEC

Nasdaq Gets a Necessary Regulatory Approval For Private Market

In March 2013, Nasdaq and SharesPost announced Nasdaq Private Market (NPM), a joint venture intended to create a preeminent marketplace for private growth companies. The road to full regulatory approval has been long but in...more

1/24/2014 - FINRA Nasdaq SharesPost

MoFo’s Quick Guide to: REIT IPOs

Real Estate Investment Trusts (“REITs”) are endlessly inventive. They were first developed in the 1960s as a means for ordinary retail investors to hold interests in real estate. The REIT market has waxed and waned over the...more

12/6/2013 - IPO Real Estate Market Registration REIT SEC

SEC Issues 11 C&DIs On Rule 144A and Rule 506(c)

On November 13, 2013, the SEC issued 11 new Compliance & Disclosure Interpretations regarding Rule 144A and Rule 506(c). As with previous C&DIs, many of the new ones confirm positions that the SEC has already taken in other...more

11/15/2013 - Compliance Disclosure Requirements Form D Filing JOBS Act Rule 144A Rule 506 Offerings SEC

The Short Field Guide To IPOs

The emerging growth Company - The JOBS Act created a new class of issuer: the emerging growth company (EGC). An EGC is defined as an issuer with total annual gross revenue of less than $1 billion during the most recent...more

11/4/2013 - Emerging Growth Companies IPO JOBS Act Prospectus Public Disclosure Registration SEC Startups

Comparison of Rule 506(d) “Bad Actor” Provisions to FINRA Forms U4 and U5

Rule 506(d) uses significantly different language from FINRA Forms U4 and U5. Below is a correlation of Rule 506(d) disqualifying events to comparable FINRA Forms U4 and U5 disclosure obligations. FINRA Form U5 disclosure...more

9/16/2013 - Bad Actors Disclosure Requirements FINRA Rule 506 Offerings

FINRA Updates Private Placement Form

In its continuing quest to improve member firm due diligence in private placements, thereby enhancing investor protections (See our posts on July 7, July 24 and August 6, 2013), on August 19, 2013, FINRA issued Regulatory...more

8/21/2013 - Due Diligence FINRA Private Placements SEC Startups

FINRA Releases FAQs on its Public Offering Review Process

FINRA recently released a set of frequently asked questions (“FAQs”) relating to its public offering process and the Corporate Financing Rule (Rule 5110). The guidance provided in the FAQs is summarized...more

2/13/2013 - Conflicts of Interest Corporate Financing Rule DDPs FINRA Lock-Up Requirements Mortgage REITS Public Offerings Right of FIrst Refusal Underwriting

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