Morrison & Foerster LLP - JOBS Act

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Washington, D.C. 20006-1888, United States

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Advisory Committee on Small and Emerging Companies Meets Wednesday

The SEC’s advisory committee will meet this Wednesday to discuss and address means of promoting secondary market liquidity for the securities of small and emerging companies, including addressing the Section 4(a)(1-1/2)…more
| Business Organizations, Finance & Banking, Securities Law

SEC Remarks at the Practising Law Institute’s Program Titled “SEC Speaks in 2015”

On February 20, 2015, several representatives from the SEC spoke at the Practising Law Institute’s program titled “SEC Speaks in 2015,” including Chair Mary Jo White and Commissioner Louis A. Aguilar. Ms. White provided…more
| Administrative Law, Business Organizations, Securities Law

UK Regulator Publishes Findings of Crowdfunding Review

Earlier this month, the UK’s Financial Conduct Authority published a paper, “A review of the regulatory regime for crowdfunding and the promotion of non-readily realizable securities by other media”, which provides a…more
| Commercial Law & Contracts, Communications & Media Law, Finance & Banking, Securities Law

Proposed Hedging Disclosures to Apply to EGCs

The SEC recently proposed amendments to require disclosure of whether employees and directors of public companies are permitted to hedge or offset any decrease in the market value of equity securities granted to them as part of…more
| Commercial Law & Contracts, Labor & Employment Law, Finance & Banking, Securities Law

P2P Lending Basics

Peer-to-peer, or person-to-person, lending (“P2P lending”) is a type of crowdfunding that involves the facilitation of loan originations outside of the traditional consumer banking system by connecting borrowers directly with…more
| Commercial Law & Contracts, Communications & Media Law, Finance & Banking, Securities Law

Advisory Committee to Vote on Accredited Investor Definition

The SEC announced that its Advisory Committee on Small and Emerging Companies will hold a public meeting on February 17 in order to vote on recommendations to the SEC regarding the definition of an “accredited investor.”…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Matchmaking Basics: How it Works, Current Regulations and Key Considerations

Background - “Matchmaking sites,” also referred to as “matchmaking platforms,” have come to play a more significant role in capital formation in recent years. A matchmaking site generally relies on the Internet in order…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

House Passes Bill Implementing JOBS Act Changes (and Volcker Rule changes)

Today, the House voted (271-154) to pass H.R. 37, titled “Promoting Job Creation and Reducing Small Business Burdens Act.” Among other things, the bill includes a number of measures that correct issues arising in the JOBS Act,…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, Securities Law

FINRA Regulatory and Examinations Priorities Letter

Earlier this week, FINRA published its annual priorities letter. Again, FINRA includes among the areas of concern private placements. FINRA cites particular issues relating to inadequate due diligence by broker-dealers in…more
| Communications & Media Law, Finance & Banking, Securities Law

2014 in IPOs

According to Renaissance Capital, there were 273 IPOs that raised $85 billion of gross proceeds. The number of offerings in 2014 increased by nearly 23% and the proceeds raised increased by 55% over 2013. Alibaba’s $25 billion…more
| Commercial Law & Contracts, Finance & Banking, Health, Securities Law

SEC Proposes Amendments Revising Section 12(g) Thresholds as Required by the JOBS Act

The SEC proposed rules for comment that address the JOBS Act mandate to revise the thresholds for registration, termination of registration, and suspension of reporting under Section 12(g) of the Exchange Act. The proposed rules…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Securities Regulation Legislation in the Coming 114th Congress

If the current 113th Congress is any measure, we can expect the coming 114th Congress to introduce and promote bills seeking, among other matters, to facilitate capital formation, to correct oversights in the original JOBS Act,…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, Securities Law

Advisory Committee will Consider Accredited Investor Definition

The SEC announced that at the December 17th meeting of the Advisory Committee on Small and Emerging Companies, the group will focus on the definition of “accredited investor.”…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

House Approves Various Bills

Today the House of Representatives approved several bills including these two, which we have previously commented on..…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, Securities Law

Waivers of IPO Lock-up

We have previously commented on the lock-up requirement in connection with IPOs and noted that it has become somewhat more frequent for underwriters to release issuers and/or their shareholders (including directors and officers)…more
| Commercial Law & Contracts, Finance & Banking, Business Torts, Securities Law
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