Morrison & Foerster LLP - JOBS Act

SEC Proposes to Amend Smaller Reporting Company Definition

In the years following the JOBS Act, which created the term “emerging growth company” and made available certain disclosure and other accommodations to companies that qualified as EGCs, there has been renewed focus on scaled…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Increases Net Worth Threshold for “Qualified Clients” under Rule 205-3 of the Advisers Act

On June 14, 2016, the SEC issued an order (the “Order”) to increase the net worth threshold for “qualified clients” under Rule 205-3 of the Investment Advisers Act of 1940, as amended (the “Advisers Act”), from $2 million to…more
| Finance & Banking, Securities Law

D.C. Circuit Court of Appeals Upholds Regulation A+

On June 14, 2016, the D.C. Circuit Court of Appeals in Lindeen v. SEC upheld Regulation A+, including the SEC’s definition of “qualified purchaser.” The decision comes after petitioners William F. Gavin and Monica J. Lindeen,…more
| Business Organizations, Finance & Banking, Securities Law

Financial Services Committee Approves Bills Relating to Capital Formation

The House Financial Services Committee held a markup session on June 15, 2016 to discuss a number of bills, including many relating to capital formation and the lessening of regulatory burdens for smaller reporting companies. …more
| Business Organizations, Elections & Politics, Finance & Banking, Securities Law

2016 BDCs & Small Business Capital Formation Forum

On June 28, 2016, Morrison & Foerster LLP, along with the Milken Institute, the U.S. Small Business Administration (SBA) and the Small Business Investment Alliance (SBIA), will be hosting the 2016 BDCs & Small Business Capital…more
| Business Organizations, Finance & Banking, Securities Law

The Plan to Replace Dodd-Frank: The Financial CHOICE Act

On June 7, in a speech to the Economic Club of New York, House Financial Services Committee Chairman Jeb Hensarling announced the Republican plan to replace the Dodd-Frank Act. The Financial Creating Hope and Opportunity for…more
| Business Organizations, Elections & Politics, Finance & Banking, Securities Law

SEC Issues Interim Final Rule Required by the FAST Act Regarding Form 10-K Summary Page

On June 1, 2016, the SEC issued an interim final rule to implement Section 72001 of the Fixing America’s Surface Transportation (FAST) Act, which requires the SEC to issue regulations to permit issuers to submit a summary page…more
| Business Organizations, Finance & Banking, Securities Law

Staying Private Longer

Yesterday, May 24, 2016, the Staff of the Securities and Exchange Commission published a Small Entity Compliance Guide that is intended to help issuers navigate the changes to the Exchange Act Section 12(g) threshold in light of…more
| Business Organizations, Finance & Banking, Securities Law

SEC Issues C&DIs and Small Entity Compliance Guides for Crowdfunding

On May 13, 2016, the SEC issued new Compliance and Disclosure Interpretations (“C&DIs”) on Rules 100 (Crowdfunding Exemption and Requirements), 201 (Disclosure Requirements), 204 (Advertising) and 205 (Promoter Compensation) of…more
| Business Organizations, Communications & Media Law, Finance & Banking, Securities Law

BIO Publishes Study on Capital Raising for Emerging Therapeutic Companies

On May 24, 2016, the Biotechnology Innovation Organization (BIO) published a study, “Emerging Therapeutic Company Investment and Deal Trends,” which collects ten years of data to identify trends affecting “emerging therapeutic…more
| Business Organizations, Finance & Banking, Science, Computers, & Technology, Securities Law

House Passes the Fostering Innovation Act

On May 23, 2016, the House passed H.R. 4139, the Fostering Innovation Act, by voice vote. The bill had passed the House Financial Services Committee on March 2, 2016…more
| Business Organizations, Finance & Banking, Science, Computers, & Technology, Securities Law

What is the RAISE Act and How Useful will it be to Sellers of Private Company Shares?

With the enactment of the Jumpstart Our Business Startups (JOBS) Act of 2012, private companies have the ability to defer an IPO and SEC reporting, and remain private longer than at any time in the past. One result, however, is…more
| Business Organizations, Securities Law

Growing Trend of Companies Staying Private Longer

On May 17, 2016, Fortune Magazine published an article by Geoff Colvin, “Take This Market and Shove It,” examining the growing trend of companies staying private rather than opting for an IPO. The article notes that while the…more
| Business Organizations, Finance & Banking, Securities Law

NASAA Releases Proposed Model Rule for Crowdfunded Offerings

On May 16, 2016, the North American Securities Administrators Association (NASAA) released for public comment its proposed model rule and uniform notice filing form for crowdfunded offerings…more
| Business Organizations, Communications & Media Law, Finance & Banking, Securities Law

SEC Issues New C&DIs on the Use of Non-GAAP Financial Measures

On May 17, 2016, the staff of the SEC Division of Corporation Finance (the “Staff”) issued 12 new Compliance & Disclosure Interpretations (“C&DIs”) on the use of non-GAAP financial measures, which has recently been an area of…more
| Business Organizations, Finance & Banking, Securities Law
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Washington, D.C. 20006-1888, United States

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