Morrison & Foerster LLP - JOBS Act

SEC Guidance on Regulation A+

Section 182. Rules 251 to 263: Question 182.01 - Question: Where an issuer elects to non-publicly submit a draft offering statement for staff review pursuant to Rule 252(d) of Regulation A before publicly filing…more
| Administrative Law, Commercial Law & Contracts, Securities Law

SEC Denies Motion to Stay Regulation A+

On June 5, 2015, Monica J. Lindeen, Montana State Auditor, ex officio Commissioner of Securities and Insurance, filed a motion with the SEC for a stay of the Regulation A+ rules, which are scheduled to become effective this…more
| Business Organizations, Finance & Banking, Securities Law

The Guide to Social Media and the Securities Laws

The growing use of social media has created challenges for federal securities regulators, who must enforce antifraud rules that were written at a time when the prevailing technology was the newspaper. This Guide summarizes…more
| Business Organizations, Commercial Law & Contracts, Communications & Media Law, Finance & Banking, Securities Law

Kauffman Foundation Study on Funding for Start-Ups

In a recent edition of its Entrepreneurship Policy Digest, the Kauffman Foundation provides interesting data on the types of funding relied upon by emerging companies. The report notes that approximately 40% of startup capital…more
| Business Organizations, Finance & Banking, Securities Law

The Section “4(a)(1-1/2)” Exemption

At last week’s SEC Advisory Committee on Small and Emerging Companies meeting, the Committee recommended that the SEC formalize the exemption in order to promote capital formation. Currently, there also is a pending bill, the…more
| Business Organizations, Finance & Banking, Securities Law

OTC Markets Adopts Rule Changes

The OTC Markets has adopted rule changes for OTCQX and OTCQB to accommodate for Reg A + and require quarterly disclosure for the OTCQX marketplace…more
| Securities Law

FINRA Research Rule Guidance: The New Stages of Grief

Many market participants were left in a quandary following FINRA enforcement actions in connection with member firm research analyst “participation” in meetings with prospective issuers. Recently, FINRA published a handful of…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Advisory Committee Agenda Published

The SEC announced that the next meeting held on June 3rd of its Advisory Committee on Small and Emerging Companies will focus on public company disclosure effectiveness, intrastate crowdfunding, venture exchanges, and treatment…more
| Business Organizations, Securities Law

JOBS Act Bills Advance

The House Financial Services Committee approved 13 bills, many of which are JOBS Act related. The bills that were approved by the Committee are described here..…more
| Elections & Politics, Finance & Banking

Massachusetts Challenges Regulation A+

On May 22, 2015, William F. Galvin, the Secretary of the Commonwealth of Massachusetts, filed a petition for review in the U.S. Court of Appeals for the District of Columbia Circuit seeking court review of the portion of SEC’s…more
| Administrative Law, Civil Remedies, Conflict of Laws, Finance & Banking, Securities Law

SEC Approves Tick-Size Pilot

The SEC recently approved a proposal by the national securities exchanges and FINRA for a two-year pilot program to widen tick sizes for prices of certain smaller company common stock. The SEC adopted the tick size pilot…more
| Finance & Banking, Securities Law

House Financial Services Committee Mark-Up of JOBS Act Bills

On May 20th, the Committee will be meeting beginning at 10am in an open session to mark up eleven bills that relate to various capital formation and JOBS Act measures. We have reported on a number of these bills in prior posts…more
| Business Organizations, Franchise Law, Securities Law

Americans Stand On the Cusp of a Money Revolution

Americans are standing on the cusp of a revolution in how we access and use money, a revolution that could make our economic lives more secure and our economy more robust. Just as e-commerce freed merchants and customers from…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

House Small Business Committee Hearing on P2P

Last week, the House Small Business Committee held a hearing to discuss the rise of peer-to-peer lending and the availability of capital for small businesses. The testimony from leaders in the P2P sector provides an overview of…more
| Business Organizations, Finance & Banking

CFTC Reauthorization Bill Includes JOBS Act Fix

The House Agricultural Committee passed the CFTC authorization bill late last week, HR 2289. HR 2289 incorporates in Section 312 a provision that was part of a bill introduced by Congressman Fincher to harmonize the treatment…more
| Agriculture, Securities Law
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