Morrison & Foerster LLP - JOBS Act

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

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Financial Services Committee Hearing May Provide Insights

This Thursday, July 24th, the Capital Markets and Government Sponsored Enterprises Subcommittee will hold a hearing with Keith Higgins, Director of the SEC’s Division of Corporation Finance, to review the SEC’s rule proposals to…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

The Hot IPO Market Continues

The first half of 2014 has seen the hottest IPO market in 14 years – 133 IPOs priced, raising more than $30 billion in proceeds. This is already greater than the total number of IPOs priced during 2011 and 2012. The second…more
| Commercial Law & Contracts, Finance & Banking, Science, Computers, & Technology, Securities Law

New Senate Bill Introduced to Clarify Definition of General Solicitation

The text of S. 2498, introduced by Senator Murphy in late June, was finally released. The bill is titled the “HALOS Act”, or “Helping Angels Lead our Startups Act.” Angel investors have expressed concerns regarding the…more
| Commercial Law & Contracts, Communications & Media Law, Elections & Politics, Finance & Banking, Securities Law

SEC Staff Provides Rule 506(c) Verification Guidance

The SEC Staff recently provided further guidance on the provisions of Rule 506(c) of Regulation D which permit the use of general solicitation and general advertising when sales are made only to accredited investors and the…more
| Communications & Media Law, Finance & Banking, Securities Law

NASAA Seeks Comment on a Model Rule for Electronic Blue Sky Filings

The North American Securities Administrators Association, Inc. (NASAA) posted a web notice requesting comment on model rules that would provide for electronic filings with the states of Form D and other state securities…more
| Securities Law

SEC Staff Closes Loophole on BDC Asset Coverage Requirements

In a Guidance Update published on June 30, 2014 by the SEC’s Division of Investment Management, the staff closed a loophole that allowed business development companies (BDCs) with wholly owned Small Business Investment Company…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Investor Advisory Committee

On July 10, the Investment Advisory Committee will be meeting to consider various topics, including the definition of the term “accredited investor.” The Committee had previously discussed amendments to the natural persons…more
| Business Organizations, Finance & Banking, Securities Law

SEC Announces Order for Tick Size Pilot Plan

On June 25, 2014, the Securities and Exchange Commission (the “SEC”) announced that it had ordered the national securities exchanges and the Financial Industry Regulatory Authority, Inc. (“FINRA”) to act jointly to develop and…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

SIFMA Guidance on Investor Verification

SIFMA has issued a Memorandum intended to provide broker-dealers and advisers with guidance regarding procedures for investor verification in connection with offerings made pursuant to Rule 506(c)…more
| Finance & Banking, Securities Law

SEC Orders Tick Size Pilot Program

The SEC has announced that it ordered the national securities exchanges and the FINRA to develop and file a plan to implement a targeted 12 month pilot program that will widen tick sizes for specified small-cap stocks. The plan…more
| Business Organizations, Securities Law

Future of Regulation A+ Uncertain

Earlier this month a group of Congressmen wrote to SEC Chair White regarding state preemption for Regulation A+ offerings. The letter suggests that, at the time that the JOBS Act was being debated and considered, Congress was…more
| Conflict of Laws, Finance & Banking, Securities Law

The Return of Smaller IPOs

IPO market activity has recently returned to levels not seen since before the financial crisis. With 70 IPOs in the first quarter and 114 IPOs year-to-date, 2014 is off to the fastest start since 2000 and is on pace to finish…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

JOBS Act 2.0 Bills to Be Considered

On June 10th, the House Financial Services Committee will mark up and consider a number of JOBS Act and capital formation related bills. The original mark-up session was to have been held on May 29th…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Remarks of Sebastian Gomez Abero, Chief of the SEC’s Office of Small Business Policy, in an ALI Webcast Titled “Crowdfunding and Reg A+: New Routes for Raising Capital”

On May 22, 2014, Sebastian Gomez Abero, Chief of the Office of Small Business Policy of the Division of Corporation Finance of the SEC, spoke about the SEC’s crowdfunding and Regulation A+ proposals. Mr. Gomez commented…more
| Communications & Media Law, Finance & Banking, Securities Law

Committee Passes JOBS Act Related Bills

The House Financial Services Committee passed several bills designed to promote capital formation, including: HR 4200, the Small Business Investment Companies (SBICs) Advisers Relief Act, introduced by Rep. Blaine…more
| Elections & Politics, Finance & Banking, Securities Law
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