Morrison & Foerster LLP - JOBS Act

Investor Advisory Committee Meeting Agenda Announced

The SEC’s Investor Advisory Committee will hold a public meeting on March 9, 2017, from 9:00 a.m. to 11:55 a.m. The meeting’s agenda includes a discussion regarding SEC investor research initiatives, the FINRA 2016 Financial…more
| Finance & Banking, Securities Law

EGC Corporate Governance Practices: A survey and related resources - February 2017

During 2016, there were relatively few companies that completed initial public offerings (“IPOs”). Some commentators attribute the dearth of IPOs in 2016 to volatility arising from, among other things, Brexit and the U.S…more
| Business Organizations, Commercial Law & Contracts, Elections & Politics, Finance & Banking, Securities Law

Mutual Funds As Venture Capitalists? Evidence from Unicorns

In a recent paper, authors Sergey Chernenko, Josh Lerner, and Yao Zeng consider investments by mutual funds (“cross over funds”) in 99 unicorn companies. Given the rise in recent years of investments by cross over funds in…more
| Civil Procedure, Finance & Banking

Securities Crowdfunding in the U.S.

On February 28, 2017, the SEC’s Division of Economic and Risk Analysis (DERA) and New York University’s Salomon Center for the Study of Financial Institutions will host a dialogue on Securities Crowdfunding in the U.S. The…more
| Finance & Banking, Securities Law

Agenda Announced For Next SEC Advisory Committee On Small And Emerging Companies Meeting

The SEC’s Advisory Committee on Small and Emerging Companies announced its agenda for its upcoming February 15 meeting. The committee will discuss..…more
| Business Organizations, Finance & Banking, Securities Law

Updated Market Statistics

At the 35th Annual Federal Securities Institute, a representative of the Securities and Exchange Commission shared some market data…more
| Business Organizations, Finance & Banking, Securities Law

NYSE Issues Its 2017 Listed Company Compliance Guide Memoranda for Both Domestic Issuers and FPIs

On February 1, 2017, the NYSE issued separate Listed Company Compliance Guidance memoranda for both U.S. companies (“Domestic Companies”) and foreign private issuers (“FPIs”) listed on the NYSE. Below is a brief overview of…more
| Business Organizations, Securities Law

Trump Signs Executive Order on Dodd-Frank

On February 3, 2017, President Donald Trump signed an executive order to roll back certain parts of the Dodd-Frank Act. We will continue to monitor news relating to the executive order and report developments on this blog…more
| Elections & Politics, Finance & Banking

Disclosure of Payments by Resource Extraction Issuers

Likely, this is only the beginning. Senator Inhofe and Representative Huizenga filed Congressional Review Act Resolution relating to the Securities and Exchange Commission’s final rule regarding the disclosure of certain…more
| Business Organizations, Finance & Banking, Securities Law

Rule 504 Small Entity Compliance Guide

The Securities and Exchange Commission recently released a Small Entity Compliance Guide for Issuers that provides a helpful summary of the exemption…more
| Securities Law

House of Representatives Passes the HALOS Act (Again), But Is It Really Necessary?

On January 10, 2017, the House of Representatives passed H.R. 79, the “Helping Angels Lead Our Startups Act” (the “HALOS Act”). The HALOS Act was originally passed by the House of Representatives as H.R. 4498 on April 27, 2016,…more
| Business Organizations, Securities Law

Chair White’s Remarks

On January 17, Chair White delivered a speech at The Economic Club of New York, which was titled “The SEC after the Financial Crisis: Protecting Investors, Preserving Markets.” Chair White commented on the Securities and…more
| Finance & Banking, Securities Law

Late-Stage Private Placements

As we have reported in other blog posts, many successful privately held companies are able to raise funds from institutional investors at attractive valuations and defer their IPOs. While the exuberance regarding valuations may…more
| Business Organizations, Commercial Law & Contracts, Securities Law

Global Accounting Standards

The Chair of the Securities and Exchange Commission Mary Jo White recently commented on the significance of high-quality accounting standards. The speech noted the need to support continued work toward the globally accepted…more
| Finance & Banking, International Law & Trade, Securities Law

The Short Field Guide to IPOs - 2017

THE EMERGING GROWTH COMPANY - The JOBS Act created a new class of issuer: the emerging growth company (EGC). An EGC is defined as an issuer with total annual gross revenue of less than $1 billion during the most recent…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law
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