Morrison & Foerster LLP - JOBS Act

The Short Field Guide to IPOs

Since the adoption of the Jumpstart Our Business Startups (JOBS) Act, emerging companies have a broader array of financing alternatives, including the opportunity to rely on the accommodations available to emerging growth…more
| Business Organizations, Finance & Banking, Securities Law

House Passes Two Bills Relating to Capital Formation

Today, the House passed two bills relating to the promotion of capital formation by smaller companies, H.R. 1525 and H.R. 1839…more
| Business Organizations, Finance & Banking, Securities Law

Unlawful Crowdfunding? — SEC Institutes Public Administrative and Cease-and-Desist Proceeding Against Unregistered Broker-Dealer

In a proceeding on September 28th, the SEC ordered a public hearing to be held before an Administrative Law Judge within the next two months. Further, the SEC ordered the Respondent and two companies under his control, to cease…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Request for Comment on Regulation S-X

The SEC recently published a request for comment on Regulation S-X, which signals an important step in the Commission’s continuing review of disclosure requirements. The request for comment is focused on financial statement…more
| Commercial Law & Contracts, Finance & Banking, Mergers & Acquisitions, Securities Law

Advisory Committee on Small and Emerging Companies Makes Three Written Recommendations to SEC

It was a productive morning at the last meeting of its current term for the SEC Advisory Committee on Small and Emerging Companies. The Committee, which has been renewed for two more years, approved three recommendations to be…more
| Business Organizations, Finance & Banking, Securities Law

No Portal Necessary

With increasing frequency, we are asked whether an issuer that is considering a Regulation A offering is required to engage or use the services of a funding portal. In short, NO. A funding portal is a new type of financial…more
| Business Organizations, Finance & Banking, Securities Law

Progress for Venture Exchanges

We have seen various initiatives intended to promote capital formation for smaller reporting companies and emerging growth companies. Among these initiatives, the development of venture exchanges in the United States appears to…more
| Business Organizations, Finance & Banking, Securities Law

NYSE Rule Change to Effect Issuers Public Announcements

On August 27, 2015, the New York Stock Exchange (the “NYSE” or the “Exchange”) filed with the Securities and Exchange Commission (the “Commission”) a proposed change to Section 202.06 of the NYSE Listed Company Manual (the…more
| Finance & Banking, Securities Law

New Study Released on the 8-K Trading Gap

On September 7, 2015, a new study on the “8-K trading gap” conducted by researchers at Harvard and Columbia law schools was released. The “8-K trading gap” refers to the four business day period before SEC reporting companies…more
| Business Organizations, Finance & Banking, Securities Law

Pending Legislation Relating to Capital Formation

A number of bills promoting access to capital formation have been introduced during the 114th Congress. The focus remains on reducing and eliminating burdensome regulation for smaller reporting companies and emerging companies…more
| Business Organizations, Elections & Politics, Finance & Banking

Regulation A Roundup - September 2015

This week marks the three-month anniversary of the effective date of Regulation A. Of course, given this limited experience, it may be premature to comment on market developments. Instead, below we summarize significant…more
| Communications & Media Law, Finance & Banking, Securities Law

Proposed Change to NYSE Shareholder Vote Rule for “Early Stage Companies”

The Securities and Exchange Commission is requesting comments prior to August 31, 2015 regarding whether the Commission should approve or disapprove a proposed change to the NYSE Listed Company Manual Sections 312.03 and 312.04…more
| Business Organizations, Securities Law

Does Loyalty Count?

In recent years, there has been increased focus on “short-termism” within public companies—some speculate that the rise of high frequency trading, activism, and similar developments have exacerbated the focus on short-term…more
| Business Organizations, Finance & Banking, Securities Law

House Financial Services Committee Reports on JOBS Act Related Bills

A flurry of activity was seen last week on the House floor as the Financial Services Committee reported on various bills, many of which JOBS Act related. These bills propose to change registration and reporting requirements for…more
| Elections & Politics, Finance & Banking, Securities Law

Treatment of “Finders” and Disclosure Effectiveness Discussed at SEC Advisory Committee Meeting

During their July 15 open telephone meeting, the SEC’s Advisory Committee on Small and Emerging Companies continued discussion on the regulatory treatment of “finders” and disclosure effectiveness relating to small businesses…more
| Business Organizations, Finance & Banking, Securities Law
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