Samuel Effron

Samuel Effron

Mintz Levin

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The New Section 4(a)(7): More Than a Codification of Section “4(a)(1½)”

On December 4, 2015, the Fixing America’s Surface Transportation Act (the “FAST Act”) was signed into law by President Obama. Although the FAST Act is primarily a transportation bill, buried in this legislation is a new...more

1/22/2016 - Fixing America’s Surface Transportation Act (FAST Act) Liquidity Private Resales SEC Secondary Markets Section 4(a) Securities Act of 1933

A Balanced Approach to Founder's Equity

When accepting money from outside investors, entrepreneurs are generally asked to give up some degree of control over their start-up, exchanging equity in their company for cash. In an effort to minimize the control they...more

1/5/2016 - Common Stock Entrepreneurs Fund-raising Startups

Mintz TechConnect - December 2015

Letter from the Editors - Welcome to the second issue of Mintz Levin’s TechConnect — our bi-monthly newsletter on “all things technology” in the legal and business world, from our perspective, of course. This issue...more

12/29/2015 - B Corporation Broadcasting Corporate Social Responsibility Crowdfunding Cybersecurity Information Sharing Act (CISA) FinTech GIIN IRIS JOBS Act SEC Socially Responsible Investments Solar Energy

Regulation Crowdfunding: The Long Wait Is Over, But Is Equity Crowdfunding D.O.A.?

Three and a half years after the passage of the JOBS Act, the SEC on October 30, 2015 adopted final rules for Title III of that Act, more popularly known as equity crowdfunding and dubbed by the SEC as “Regulation...more

12/9/2015 - Advertising Crowdfunding Equity Financing Funding Portal JOBS Act Popular SEC Young Lawyers

The SEC’s Common Sense Approach to Private Placements and General Solicitation

Earlier this month the SEC issued concurrently (i) the Citizen VC No Action Letter (in response to a request for guidance authored by Mintz Levin) relating to the use of 506(b) for a private placement online and (ii) a series...more

8/19/2015 - CD&I General Solicitation No-Action Letters Private Placements Regulation D Rule 506 Offerings SEC

Citizen.VC No Action Letter: Clarity and Guidance for Conducting a Private Placement Online

The SEC has recently provided clarity as to how an issuer of securities can conduct a private placement in a password protected web page under Rule 506(b), without it being deemed a “general solicitation” and thereby being...more

8/10/2015 - General Solicitation JOBS Act No-Action Letters Policies and Procedures Private Offerings Private Placements Rule 506 Offerings SEC Venture Capital

The New Rule 506: a Useful Crowdsourcing Tool

When the JOBS Act was passed in the spring of 2012, all the “buzz” was about the imminent advent of “Crowdfunding.” But as legal practitioners, business persons, and pundits looked closer at the details under the Crowdfunding...more

8/7/2013 - Advertising Crowdsourcing Dodd-Frank General Solicitation JOBS Act Regulation D Rule 144A Rule 506 Offerings SEC Title III

Fiscal Cliff Legislation Extends Tax Incentive to Invest in Small Businesses

As a result of the recent “fiscal cliff” legislation, otherwise known as the American Taxpayer Relief Act of 2012 (2012 Tax Act), many individual investors are expecting future tax increases, either in the form of higher...more

1/21/2013 - American Taxpayer Relief Act C-Corporation Capital Gains Fiscal Cliff Income Taxes Net Investment Income Qualified Small Business Stock

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