Morrison & Foerster LLP - JOBS Act

Staying Private Longer

Yesterday, May 24, 2016, the Staff of the Securities and Exchange Commission published a Small Entity Compliance Guide that is intended to help issuers navigate the changes to the Exchange Act Section 12(g) threshold in light of…more
| Business Organizations, Finance & Banking, Securities Law

SEC Issues C&DIs and Small Entity Compliance Guides for Crowdfunding

On May 13, 2016, the SEC issued new Compliance and Disclosure Interpretations (“C&DIs”) on Rules 100 (Crowdfunding Exemption and Requirements), 201 (Disclosure Requirements), 204 (Advertising) and 205 (Promoter Compensation) of…more
| Business Organizations, Communications & Media Law, Finance & Banking, Securities Law

BIO Publishes Study on Capital Raising for Emerging Therapeutic Companies

On May 24, 2016, the Biotechnology Innovation Organization (BIO) published a study, “Emerging Therapeutic Company Investment and Deal Trends,” which collects ten years of data to identify trends affecting “emerging therapeutic…more
| Business Organizations, Finance & Banking, Science, Computers, & Technology, Securities Law

House Passes the Fostering Innovation Act

On May 23, 2016, the House passed H.R. 4139, the Fostering Innovation Act, by voice vote. The bill had passed the House Financial Services Committee on March 2, 2016…more
| Business Organizations, Finance & Banking, Science, Computers, & Technology, Securities Law

What is the RAISE Act and How Useful will it be to Sellers of Private Company Shares?

With the enactment of the Jumpstart Our Business Startups (JOBS) Act of 2012, private companies have the ability to defer an IPO and SEC reporting, and remain private longer than at any time in the past. One result, however, is…more
| Business Organizations, Securities Law

Growing Trend of Companies Staying Private Longer

On May 17, 2016, Fortune Magazine published an article by Geoff Colvin, “Take This Market and Shove It,” examining the growing trend of companies staying private rather than opting for an IPO. The article notes that while the…more
| Business Organizations, Finance & Banking, Securities Law

NASAA Releases Proposed Model Rule for Crowdfunded Offerings

On May 16, 2016, the North American Securities Administrators Association (NASAA) released for public comment its proposed model rule and uniform notice filing form for crowdfunded offerings…more
| Business Organizations, Communications & Media Law, Finance & Banking, Securities Law

SEC Issues New C&DIs on the Use of Non-GAAP Financial Measures

On May 17, 2016, the staff of the SEC Division of Corporation Finance (the “Staff”) issued 12 new Compliance & Disclosure Interpretations (“C&DIs”) on the use of non-GAAP financial measures, which has recently been an area of…more
| Business Organizations, Finance & Banking, Securities Law

May 16th: Title III Crowdfunding Effective Date

In time for the effective date of Regulation Crowdfunding, FINRA has issued an investor alert and a press release…more
| Business Organizations, Communications & Media Law, Securities Law

SEC’s Continued Concern with the Use of Non-GAAP Financial Measures

On May 5, 2016, SEC Deputy Chief Accountant Wesley Bricker and the SEC Division of Corporation Finance’s Chief Accountant Mark Kronforst spoke at the 2016 Baruch College Financial Reporting Conference. Deputy Chief Accountant…more
| Business Organizations, Finance & Banking, Securities Law

Agenda Announced for SEC Advisory Committee on Small and Emerging Companies Meeting

The SEC has announced the agenda for its May 18 meeting of the Advisory Committee on Small and Emerging Companies. The meeting will focus on the definition of “accredited investor”, where the recent SEC staff report will be…more
| Business Organizations, Securities Law

The CATO Institute Assesses the Effectiveness of the JOBS Act

On May 3, 2016, the CATO Institute published a policy paper titled, “A Walk Through the JOBS Act of 2012: Deregulation in the Wake of Financial Crisis,” which assesses the JOBS Act and offers certain policy recommendations. In…more
| Business Organizations, Finance & Banking, Securities Law

SEC Approves Amendments to Implement FAST Act

The SEC approved amendments to revise the rules related to the thresholds for registration, termination of registration, and suspension of reporting under Section 12(g) of the Securities Exchange Act. These amendments implement…more
| Business Organizations, Securities Law

House of Representatives Passes the HALOS Act; Fair Access to Investment Research Act of 2016 is Introduced

On April 27, 2016, the House of Representatives passed the Helping Angels Lead Our Startups Act (H.R. 4498) (the “HALOS Act”), which was first introduced on April 16, 2015. The HALOS Act directs the SEC to amend Regulation D…more
| Business Organizations, Communications & Media Law, Finance & Banking, Securities Law

FINRA Proposes to Delay Further the Implementation Date of its New Debt Research Rule

On April 20, 2016, FINRA proposed delaying further the implementation date of its new debt research rule (Rule 2422) until July 16, 2016. Rule 2422 was set to take effect on April 22, 2016, after the implementation date was…more
| Business Organizations, Finance & Banking, Securities Law
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