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House of Representatives Passes the HALOS Act; Fair Access to Investment Research Act of 2016 is Introduced

On April 27, 2016, the House of Representatives passed the Helping Angels Lead Our Startups Act (H.R. 4498) (the “HALOS Act”), which was first introduced on April 16, 2015. The HALOS Act directs the SEC to amend Regulation D...more

Federal Crowdfunding: What Comes Next?

In our original article on this subject, “SEC Finally Adopts Federal Crowdfunding Rules: All That Glitters May Not Be Gold,” we discussed some of the highlights of the final federal crowdfunding rule (the “Regulation”)...more

Federal Crowdfunding: Practical Considerations For Interested Parties

This is the second of a series of articles on the final federal crowdfunding rule (the “Regulation”) recently adopted by the Securities Exchange Commission (“SEC”). As explained more fully in our original article, federal...more

California Releases Marketplace Lending Data

The California Department of Business Oversight (DBO) has issued a summary report of aggregate data provided by the companies that responded to the DBO's online survey sent to 14 marketplace lenders engaged in online consumer...more

FinCEN Proposes to Amend Definition of Broker-Dealer in Securities to Include Funding Portals

The Financial Crimes Enforcement Network (FinCEN) proposed to amend the Bank Secrecy Act’s (BSA) definition of “Broker or Dealer in Securities” to include funding portals in order to ensure that funding portals implement...more

Capital Formation Legislative Update

On March 22, 2016, Congressman French Hill introduced a bill, HR 4831, that would amend the 100-holder restriction on S corporations in the limited case of shares acquired through crowdfunded offerings or Regulation A...more

Alert: SEC Invites the "Crowd" Into Equity Financing

On October 30, 2015, the Securities and Exchange Commission (the "SEC") adopted final rules ("Regulation Crowdfunding") and forms implementing the crowdfunding provisions of Title III of the Jumpstart Our Business Startups...more

The Next Level of Investor Communication

Last year about this time General Electric made a splash with its revamped Form 10-K, which it augmented with a short video introduction from its CEO, Jeff Immelt. This year, GE launched what it calls an Integrated Summary...more

E-Commerce: Do I have an obligation to collect state sales tax?

When making sales or conducting business on the internet, it is easy to overlook state sales tax. Whether you make a sale of tangible property online, on the phone, by fax, via a purchase order, or other medium, you are...more

Crowdfunding Is Something Worth Explaining to Investors

On October 30, 2015, the Securities and Exchange Commission (SEC) adopted new Regulation Crowdfunding to implement the requirements of the Jumpstart Our Business Startups Act. Regulation Crowdfunding prescribes rules...more

AIFMD Passporting Update

EU regulated AIFMs promoting EU domiciled AIFs – We have lived with AIFMD since the full implementation date of 22 July 2014 with the marketing passport being available from that date for EU regulated AIFMs promoting EU...more

SEC Approves FINRA’s Funding Portal Rules

On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for entities functioning as SEC-registered funding portals pursuant to...more

Corporate and Financial Weekly Digest - Volume XI, Issue 5

SEC/CORPORATE - SEC Approves FINRA’s Funding Portal Rules - On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for...more

SEC Approves FINRA’s Funding Portal Rules

The SEC approved FINRA’s Funding Portal rules for entities that intend to function as funding portals in crowdfunded offerings made pursuant to Regulation Crowdfunding. We had previously posted a link to the rule text. On...more

FinTech White Paper: Treasury’s Marketplace Lending RFI

Reed Smith has issued the first comprehensive white paper discussing the comments submitted in response to Treasury’s July 2015 Request for Information (RFI) on marketplace lending. The RFI, entitled “Public Input on...more

Online Marketplace Lending on Review by California Regulator

Why it matters - Demonstrating the continuing regulatory interest in online lenders, the California Department of Business Oversight (DBO) announced an inquiry into the marketplace lending industry. While the agency...more

SEC-JPMorgan Securities Settle False Advertising Action

The holiday season may be a time of good cheer. Wall Street banks may not agree, however, at least for this year. As the season began to unfold JPMorgan settled a Commission action centered on conflicts by admitting the facts...more

Finding Investors in a Crowd—New SEC Rules Clear the Way for Startups to Use Crowdfunding to Exchange Equity for Capital

Soon startups will be able to use crowdfunding platforms to sell an equity stake in their business to investors in exchange for working capital. However, as explained below, this new capital pathway may be of limited utility...more

New Crowdfunding Rules for Issuers: Opportunities or Landmines? - Part II

This is the second of our blog posts exploring Regulation Crowdfunding and its provisions before the final rules become effective on May 16, 2016. Issuer Requirements - Certain Issuers Ineligible for...more

SEC Releases Crowdfunding Rules for Securities Offerings

Investors will be able to purchase securities through internet crowdfunding platforms under new final rules released by the Securities and Exchange Commission (SEC) in October. The final rules, known as “Regulation...more

New Crowdfunding Regulations May Not Be As Helpful As They First Appear

On October 30, 2015, the Securities and Exchange Commission (SEC) adopted its final rules governing the offer and sale of securities under new Section 4(a)(6) of the Securities Act of 1933, also known as equity crowdfunding....more

New Crowdfunding Rules for Issuers: Opportunities or Landmines?

As directed by Congress under the JOBS Act of 2012, the Securities and Exchange Commission (SEC) recently adopted final rules to permit equity “crowdfunding,” characterized by the SEC as “a relatively new and evolving method...more

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

Two Years and Essentially As Proposed: SEC Adopts Final Crowdfunding Rules

What is “Crowdfunding”? - Crowdfunding is a term often used to describe an evolving method of raising money from individuals through the Internet. The term is often applied to any number of different activities that are...more

SEC Adopts Final Crowdfunding Rules under the JOBS Act

On October 30, 2015, the U.S. Securities and Exchange Commission (SEC) adopted final rules under Title III of the JOBS Act to enable U.S. companies to offer and sell securities through crowdfunding (Regulation Crowdfunding). ...more

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