Morrison & Foerster LLP - JOBS Act

House Passes Encouraging Employee Ownership Act

On February 3, 2016, the House passed H.R. 1675, the Encouraging Employee Ownership Act of 2015. The bill directs the SEC to revise regulations to require an issuer to furnish investors with additional specified disclosures…more
| Business Organizations, Elections & Politics, Finance & Banking, Labor & Employment Law, Securities Law

House Passes SEC Small Business Advocate Act and Fair Investment Opportunities for Professional Experts Act

On February 1, 2016, the House passed H.R. 3784, the SEC Small Business Advocate Act, and H.R. 2187, the Fair Investment Opportunities for Professional Experts Act…more
| Business Organizations, Elections & Politics, Finance & Banking, Securities Law

NASAA Requests Comments on Proposed Rule and Notice Form for Tier 2 Regulation A Offerings

On January 27, 2016, the Corporation Finance Section of the North American Securities Administrators Association (NASAA) requested comments on a proposed model rule and uniform notice filing form aimed at simplifying the state…more
| Business Organizations, Finance & Banking, Securities Law

JOBS Act Quick Start – A Brief Overview of the JOBS Act, 2016 Update

Many market participants were taken by surprise by the enactment of the Jumpstart Our Business Startups (JOBS) Act. The JOBS Act, HR 3606, was passed by the United States House of Representatives on March 8, 2012. On March 22,…more
| Business Organizations, Elections & Politics, Finance & Banking, Securities Law

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
| Business Organizations, Communications & Media Law, Finance & Banking, Securities Law

GAO Publishes Report on Gender Diversity of Corporate Boards

On December 3, 2015, the United States Government Accountability Office (GAO) published its report analyzing the history of gender diversity of U.S. corporate boards and provided recommendations for improving female board…more
| Business Organizations, Civil Rights, Finance & Banking, Securities Law

FINRA Amends Proposed Funding Portal Rules

On January 21st, FINRA filed an amendment to its proposed rule changes relating to the registration, supervision and oversight of crowdfunding funding portals. The Securities and Exchange Commission published a notice and order…more
| Business Organizations, Finance & Banking, Securities Law

Prepaid College Tuition Programs Deemed Eligible for QIB and Accredited Investor Status

On January 12, 2016, the Securities and Exchange Commission’s Division of Corporation Finance (the “Division”) granted no-action relief to the College Savings Plan Network (“CSPN”), an affiliate of the National Association of…more
| Education, Finance & Banking, Securities Law

Looking Abroad

Speaking today at a Practising Law Institute session, Keith Higgins, Director of the Division of Corporation Finance of the SEC, Higgins addressed a number of interesting topics. For example, Mr. Higgins commented on the…more
| Business Organizations, Finance & Banking, International Law & Trade, Securities Law

2015, A Bad Year for VC-backed IPOs

PitchBook’s 2015 Annual U.S. Venture Industry Report reported a total of 73 venture capital-backed IPOs were conducted in 2015, the lowest number since 2013. The number of VC-backed IPOs had been climbing since 2009, from 10…more
| Business Organizations, Finance & Banking, Securities Law

FINRA and OCIE: Examining Private Placements

Readers of this blog are familiar with the recent regulatory changes that have created new possibilities for non-registered capital raises in the U.S.: general solicitations in Regulation D offerings, Regulation A+,…more
| Business Organizations, Finance & Banking, Securities Law

SEC Adopts Rules Implementing FAST Act Provisions

The Commission announced that it approved interim final rules implementing two provisions of the FAST Act, adopted in December, that revise financial reporting forms for emerging growth companies and smaller reporting companies…more
| Business Organizations, Finance & Banking, Securities Law

Review of the 2015 Global IPO Market

According to Renaissance Capital’s 2015 Annual Review of the Global IPO Market, a total of 310 IPOs were completed in 2015 raising $156.5 billion in proceeds. This is a 35% decrease from 2014’s figures, yet remains higher than…more
| Business Organizations, Health, International Law & Trade, Securities Law

SEC Approves Proposed Change to Exempt “Early Stage Companies” from the NYSE’s Shareholder Approval Requirement for Issuances to Related Parties

The NYSE Listed Company Manual contains a number of rules requiring a listed company to obtain shareholder approval for certain issuances of securities, which rules are often referred to as the “20% rule” or “shareholder…more
| Business Organizations, Securities Law

Review of the 2015 U.S. IPO Market

A total of 170 IPOs were conducted in 2015, according to Renaissance Capital. $30 billion of gross proceeds was raised in 2015, with a median deal size of $95.3 million—the lowest figures since 2009. In their 2015 U.S. IPO…more
| Business Organizations, Finance & Banking, Mergers & Acquisitions, Securities Law
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