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SEC Proposes Conditional Exemption From Broker Registration Requirements For Finders Assisting Small Businesses With Capital...

Easing of restrictions may be on the way for smaller issuers seeking to rely on “finders” to assist with their capital raising efforts. On October 7, 2020, the U.S. Securities and Exchange Commission (the “SEC”) proposed a...more

Delaware Offices Permitted To Reopen With Restrictions

As Delaware operates in Phase 2 of its economic reopening, the following are general guidelines applicable to offices which are not otherwise subject to industry-specific guidance. The following applies as of June 15, 2020,...more

Technology As A “Horizontal” In M&A Transactions

Not too long ago, technology was considered a “vertical” market filled with companies that met the needs of the “technology” industry (think of the classic technology companies like Microsoft, Cisco, Apple, Intel, and IBM). ...more

SEC Adopts Rules to Provide More Options for Companies to Raise Capital

The SEC has adopted final rules to address intrastate and small offerings, further expanding and modernizing the manner in which start-ups and other small businesses are able to raise capital. The final rules amend Rule 147...more

SEC Adopts Changes Impacting Private Fund Advisers

The SEC’s recently-adopted changes to Form ADV and Rule 204-2 of the Investment Advisers Act of 1940, as amended (the so-called “books and records rule”), raise important considerations for many private fund advisers –...more

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