Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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Keith Higgins Speaks To JOBS Act Misperceptions: • The Staff Will Not Be Quick To Second Guess • “Venture Fairs” And “Demo Days”...

In a recent speech, Keith Higgins, Director, SEC Division of Corporation Finance, gave his views on certain misperceptions and other matters regarding general solicitation under the JOBS Act....more

3/28/2014 - General Solicitation JOBS Act Regulation D Rule 506 Offerings Rule 506(c) SEC

Continued Controversy Surrounding Proposed Regulation D Amendments

The controversy continues around the proposed SEC rules that would require a Form D be filed prior to commencing a general solicitation. Recently, seven senators sent this letter to SEC Chair Mary Jo White supporting the...more

1/7/2014 - General Solicitation Regulation D SEC

SEC Is Monitoring General Solicitations

In another of what seems to be a blizzard of speeches by SEC officials, SEC Chair Mary Jo White commented on steps the SEC is taking to monitor general solicitations for securities offerings. Ms. White noted...more

10/21/2013 - General Solicitation SEC

Hedge Funds Begin General Solicitation

According to this article dated October 4, 2013, eight hedge funds had filed Form D’s indicating they were engaged in general solicitation. My unscientific review of 25 Form D’s (all filers, not just hedge funds) filed...more

10/11/2013 - Form D Filing General Solicitation Hedge Funds JOBS Act Rule 506 Offerings

Crowdfunding And JOBS Act News Roundup – October 1, 2013

This article talks about how someone “raised $250K in 53 minutes . . . But the server for my site crashed and was exceptionally slow for about 20 minutes … I have no doubt that, for a growth round … I could raise a couple...more

10/2/2013 - AngelList Crowdfunding Form D Filing Fundersclub.com General Solicitation JOBS Act SEC Startups Venture Capital

General Solicitation – Week One – Flying Cars And More

It began with announcements like this from AngelList. For just $99 plus $25 per investment, wefunder will let you create a create a “beautiful profile” and send updates to followers, and provide free investment contracts,...more

9/26/2013 - Advertising Bad Actors Crowdfunding Dodd-Frank General Solicitation JOBS Act Regulation D SEC

Lawmakers Claim SEC Proposals Are Contrary To JOBS Act

The SEC recently issued proposals related to Regulation D which, among other things, require a Form D to be filed fifteen days before a general solicitation under Rule 506(c) can commence....more

7/30/2013 - Accredited Investors Dodd-Frank Funding General Solicitation JOBS Act Regulation D SEC Securities Startups

Law Firm Verification Of Accredited Investor Status

The SEC suggests in its final rules eliminating the ban on general solicitation that law firms may be in a position to verify accredited investor status for issuers conducting Rule 506(c) offerings. ...more

7/26/2013 - Accredited Investors Advertising Dodd-Frank Final Rules General Solicitation Marketing Regulation D Rule 144A Rule 506 Offerings SEC Verification Requirements

General Solicitation Under The Final JOBS Act Rules

The SEC has adopted final rules eliminating the ban on general solicitation and advertising in Rule 506 offerings. The changes are mostly embodied in new Rule 506(c)....more

7/12/2013 - Accredited Investors Advertising Dodd-Frank General Solicitation JOBS Act Regulation D Rule 506 Offerings SEC

Crowdfunding And JOBS Act News Roundup - April 22, 2013

Reuters reports that Representative Patrick McHenry, of North Carolina, who chairs the House Financial Services oversight panel, said he believes the Securities and Exchange Commission lost its ability to enforce the ban on...more

4/22/2013 - Crowdfunding General Solicitation JOBS Act SEC

SEC Exempts Another Crowd Funding Site From Broker-Dealer Rules

The SEC has granted AngelList relief on accepting transaction based compensation for crowd funding, exempting it from the broker-dealer rules. A couple days ago, the SEC granted relief to thefundersclub.com. Makes you kind...more

4/1/2013 - Broker-Dealer Crowdfunding Dodd-Frank FINRA General Solicitation Investment Adviser SEC

SEC Says Crowdfunding VC Site Not A Broker-Dealer

Thefundersclub.com operates a really cool website. The publicly available page advertises “The best way to invest in startups. Insider access to pre-vetted startups. Low minimum investment sizes. Free membership. Join...more

3/28/2013 - Accredited Investors Broker-Dealer Crowdfunding General Solicitation SEC Startups

SEC Charges Private Equity Group For Using Unregistered Broker

The SEC has announced charges against New York-based private equity firm Ranieri Partners, a former senior executive, and an unregistered broker who violated securities laws when soliciting more than $500 million in capital...more

3/12/2013 - Broker-Dealer Finders General Solicitation Ranieri Partners SEC

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