Morrison & Foerster LLP - JOBS Act

The SEC Defines “Voting Equity Securities” for Purposes of the Rule 506(d) Bad Actor Disqualification Rules

The SEC is continuing to tie up some loose ends left over from the adoption of the Rule 506(d) bad actor disqualification rules. Certainty regarding these open items will be beneficial for issuers and placement agents of…more
| Administrative Law, Commercial Law & Contracts, Securities Law

Update on SEC Rulemaking

Chair White, addressing the Investor Advisory Committee, provided an update on SEC rulemaking. Chair White identified the following initiatives..…more
| Securities Law

A-Okay, Regulation A+

This is a very brief, initial summary. We will be reporting on the final rule in an upcoming alert. The SEC’s proposed rules already had provided a very practical format for private issuers seeking to raise capital. The…more
| Business Organizations, Securities Law

Chair White’s Testimony on SEC Initiatives

In testimony today, Chair White provided a brief update on various rulemaking initiatives. She noted that, in connection with the Dodd-Frank Act mandates, the Division of Corporation Finance continues to work to implement…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

On the Hill this Week….

On March 24th, the U.S. Senate Committee on Banking, Housing and Urban Affairs Subcommittee on Securities, Insurance and Investment will hold a hearing on “Capital Formation and Reducing Small Business Burdens.” Information…more
| Elections & Politics, Finance & Banking, Securities Law

A+ or Not?

The SEC has scheduled an open meeting for this Wednesday to consider whether to adopt rules and forms related to the offer and sale of securities pursuant to Section 3(b) of the Securities Act of 1933 to implement Section 401 of…more
| Communications & Media Law, Conflict of Laws, Finance & Banking, Securities Law

A Comparison of FINRA Proposed Rule 2241 (Equity) v. Proposed Rule 2242 (Debt)

In November 2014, and further amended in February 2015, FINRA announced a comprehensive revision of the equity research rule currently numbered as NASD Rule 2711 and proposed a debt research rule modeled on the equity research…more
| Finance & Banking

Back to the Future? (Regional Exchanges and Venture Exchanges)

Last week, in connection with the meeting of the SEC’s Advisory Committee on Small and Emerging Companies, both Commissioner Aguilar and Commissioner Gallagher expressed interest in, and support for, a more thorough assessment…more
| Business Organizations, Finance & Banking, Securities Law

Developments from Meeting of Advisory Committee on Small and Emerging Companies

The Committee discussed: Regulation A+; secondary market trading for private securities; venture capital exchanges; and the accredited investor definition…more
| Business Organizations, Finance & Banking, Securities Law

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
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2000 Pennsylvania Avenue, NW Suite 6000
Washington, D.C. 20006-1888, United States

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