Ze’-ev Eiger

Ze’-ev Eiger

Morrison & Foerster LLP

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The Rise of Foreign Issuer IPOs

Foreign issuer IPOs have been increasing recently as foreign issuer activity continues to improve since a marked decline in 2011 and 2012. This decline resulted in part from market volatility in the aftermath of the financial...more

9/2/2014 - Dodd-Frank Foreign Investment Foreign Jurisdictions IPO Sarbanes-Oxley

The Return of Biotech IPOs

Biotech IPO market activity has recently returned to levels not seen since before the financial crisis. This has been brought about in part by the accommodations afforded issuers under the Jumpstart Our Business Startup Act...more

8/28/2014 - Biotechnology Funding IPO JOBS Act Sarbanes-Oxley SEC Startups

JOBS Act Quick Start - A brief overview of the JOBS Act - 2014 Update

In This Issue: - Introduction - The IPO on-ramp - The IPO Process - Applying Title I to other transactions - Private offerings - Crowdfunding - Regulation A+ - Exchange...more

7/10/2014 - Crowdfunding Dodd-Frank IPO JOBS Act Regulation A Rule 506 Offerings SEC Securities Exchange Act Title III

SEC Announces Order for Tick Size Pilot Plan

On June 25, 2014, the Securities and Exchange Commission (the “SEC”) announced that it had ordered the national securities exchanges and the Financial Industry Regulatory Authority, Inc. (“FINRA”) to act jointly to develop...more

6/30/2014 - FINRA Market Participants SEC Securities

The Return of Smaller IPOs

IPO market activity has recently returned to levels not seen since before the financial crisis. With 70 IPOs in the first quarter and 114 IPOs year-to-date, 2014 is off to the fastest start since 2000 and is on pace to finish...more

6/16/2014 - IPO Offerings Public Offerings

FINRA Clarifies Reporting Requirements for Tier 1 Capital Securities

Three Types of Hybrid Securities Subject to Classification and Reporting Changes - For some time now, there has been confusion regarding the appropriate trade reporting for certain hybrid securities. Hybrid securities,...more

5/28/2014 - Basel III Debt Securities Dodd-Frank Equity Securities FINRA Preferred Shares Securities TRACE

Remarks of Sebastian Gomez Abero, Chief of the SEC’s Office of Small Business Policy, in an ALI Webcast Titled “Crowdfunding and...

On May 22, 2014, Sebastian Gomez Abero, Chief of the Office of Small Business Policy of the Division of Corporation Finance of the SEC, spoke about the SEC’s crowdfunding and Regulation A+ proposals. Mr. Gomez commented...more

5/27/2014 - Compliance Crowdfunding Dodd-Frank Funding GAO NASAA Regulation A Rule 506 Offerings SEC

Recommendations of the SEC’s Investment Advisory Committee Regarding Crowdfunding Rules

On April 10, 2014, the Investor Advisory Committee (the “IAC”) of the Securities and Exchange Commission (the “SEC”) held a meeting during which it recommended that the SEC adopt crowdfunding rules that are both consistent...more

4/23/2014 - Crowdfunding Dodd-Frank SEC Startups

SEC Issues New and Revised Guidance on Intrastate Crowdfunding

On April 10, 2014, the Division of Corporation Finance of the Securities and Exchange Commission (the “SEC”) issued one revised and two new compliance and disclosure interpretations (“C&DIs”) regarding crowdfunding and Rule...more

4/14/2014 - Compliance Crowdfunding SEC Securities Act of 1933

Debt capital markets in the United States: regulatory overview

Legislative Restrictions on Selling Debt Securities - What are the main restrictions on offering and selling debt securities in your jurisdiction? Main restrictions on offering and selling debt securities...more

3/26/2014 - Debt Market Debt Securities Financial Regulatory Reform Securities Act of 1933

Considerations for Foreign Banks Financing in the United States - 2014 Update

Financial institutions, including foreign banks, regularly access the capital markets and seek to diversify their funding alternatives. Foreign banks may seek to access the US capital markets without subjecting themselves to...more

3/13/2014 - Banks Capital Markets Compliance Foreign Banks SEC

SEC Updates Guidance on Share-Based Compensation Disclosures in IPOs

On February 6, 2014, the Division of Corporation Finance of the Securities and Exchange Commission (the “SEC”) updated Section 9520 of its Financial Reporting Manual regarding share-based compensation disclosures in initial...more

2/17/2014 - Disclosure Requirements Executive Compensation IPO SEC

Update on Private Offering Rulemaking Progress

During the American Bar Association’s Business Law Section Fall Meeting, the Federal Regulation of Securities Committee hosted a dialogue with the Director of the SEC’s Division of Corporation Finance, Keith Higgins. Mr....more

11/25/2013 - Compliance Enforcement OCIE Private Offerings Rule 506 Offerings SEC

Disclosure Requirements and Advertising Rules for CPOs

On August 13, 2013, the Commodity Futures Trading Commission (the “CFTC”) adopted final rule amendments to accept compliance with the disclosure, reporting and recordkeeping rules of the Securities and Exchange Commission...more

9/23/2013 - Advertising CFTC CPO CTA Disclosure Requirements Fees Investment Companies Investment Company Act of 1940 Recordkeeping Requirements Reporting Requirements SEC

Rule 15A-6 and Foreign Broker-Dealers

The SEC recently adopted final rules relaxing the prohibition on general solicitation and general advertising for certain private placements under Rule 506 of Regulation D and for offerings pursuant to Rule 144A under the...more

8/19/2013 - Advertising Broker-Dealer General Solicitation JOBS Act Regulation D Rule 144A Rule 15a-6 Rule 506 Offerings SEC Securities Act of 1933

FINRA Actions and the Due Diligence Obligations of Broker-Dealers in Private Placements

Private placements and the due diligence obligations of broker-dealers in such transactions have recently come under increased scrutiny from FINRA as part of a broader trend reflected most notably in the filing requirements...more

8/6/2013 - Broker-Dealer Due Diligence FINRA General Solicitation JOBS Act Private Placements Regulation D Rule 144A Rule 506 Offerings SEC

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