Morrison & Foerster LLP - JOBS Act

2000 Pennsylvania Avenue, NW Suite 6000
Washington, D.C. 20006-1888, United States

  • (202) 887-1500
  • (202) 887-0763

Tax Me Once

For technology and other start-ups, going public can be doubly taxing—literally. “Traditionally, a pre-IPO company is structured as a C corporation, which is legally subject to two tax layers, the first assessed on income…more
| Commercial Law & Contracts, Finance & Banking, Securities Law, Taxation

SEC Small Business Capital Formation Forum

The SEC recently announced that the annual Government-Business Forum on Small Business Capital Formation will be held on November 20th at the SEC in Washington…more
| Commercial Law & Contracts, Securities Law

IPO Market at 9/30

Please see infographic below for more information…more
| Commercial Law & Contracts, Securities Law

Accredited Investor Definition Update

The SEC’s Investor Advisory Committee recommended on Thursday that the definition of “accredited investor” in Rule 501(a) under the Securities Act undergo some significant changes. The Committee was established pursuant to the…more
| Business Organizations, Finance & Banking, Securities Law

New C&DI Published on Intrastate Exemption

Last week, the SEC Staff posted the following C&DI relating to Rule 147 compliance when an issuer uses its own website in connection with a securities offering…more
| Commercial Law & Contracts, Communications & Media Law, Securities Law

Reg A+ Debate Continues

The debate regarding state preemption for Tier 2 Regulation A+ offerings appears to continue. Late last week, a group of Congressmen sent a letter to SEC Chair White reaffirming their view that the SEC has authority to define…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, Securities Law

New Data on Rule 506 Offerings

Crowdnetic, a provider of technology and market data solutions to the global crowdfinance marketplace, has shared with us for publication data collected through their network of intermediaries…more
| Commercial Law & Contracts, Communications & Media Law, Finance & Banking, Science, Computers, & Technology, Securities Law

The More Things Change….

Today, September 23rd, is the one year anniversary of the effective date of the changes relaxing the prohibition against general solicitation in certain offerings made under Rule 506 and resales made pursuant to Rule 144A…more
| Commercial Law & Contracts, Communications & Media Law, Finance & Banking, Securities Law

CROWDFUNDING—Meanwhile, at the States…

We continue to wait for the SEC to issue final crowdfunding regulations— the comment period ended in January. Meanwhile, some states have sensed an opportunity. Section 3(a)(11) of the Securities Act exempts “intrastate”…more
| Commercial Law & Contracts, Communications & Media Law, Finance & Banking, Securities Law

SEC commissioner weighs in on regulatory process and capital formation

SEC Commissioner Daniel Gallagher urged the commission on Wednesday to fulfill its mandate to promote capital formation. The SEC should institutionalize an enhanced small business focus, Gallagher said in his prepared remarks,…more
| Commercial Law & Contracts, Securities Law

Promoting Job Creation Bill

The House of Representatives voted 320 to 102 to pass H.R. 5405 (Promoting Job Creation and Reducing Small Business Burdens Act) that contains a number of JOBS Act related measures that previously were the subject of individual…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Kind-a-Sort-a

In the last few days, we received a few inquiries regarding our prior post on the CFTC’s temporary relief permitting funds to engage in general solicitation to the text that the funds were conducting Rule 506(c) offerings or…more
| Communications & Media Law, Finance & Banking, Securities Law

CFTC’s (Sort-of) Relief for Funds Using General Solicitation

The CFTC’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued a no-action letter that provides exemptive relief until the CFTC takes action on JOBS Act related amendments to its Part 4 Rules…more
| Business Organizations, Finance & Banking, Securities Law

SEC Announces Tick Size Pilot Program Proposal

In June 2014, the SEC ordered the national securities exchanges and FINRA to develop and file a proposal for a tick size pilot program. On August 26, 2014, the SEC announced that the national securities exchanges and FINRA had…more
| Finance & Banking, Securities Law

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
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law
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