Morrison & Foerster LLP - JOBS Act

SEC Requests Comments on Regulation S-K Relating to Disclosures on Management, Certain Security Holders and Corporate Governance Matters

On August 25, 2016, the SEC issued a release requesting comments on certain disclosure requirements under Regulation S-K relating to disclosures on management, certain security holders and corporate governance matters contained…more
| Business Organizations, Securities Law

The Role of BDCs in the Middle Market

Business development companies (“BDCs”) provide an important and growing alternative source of capital to small and middle market companies that may not otherwise have access to bank financing...…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Revises C&DI on Selling Securityholder Disclosure

On July 26, 2016, the SEC revised Question 140.02 of its Compliance and Disclosure Interpretations (“C&DIs”) on Regulation S-K, pertaining to selling securityholder disclosure. Revised Question 140.02 states that a registrant…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

Late-Stage Private Placements: A Life Sciences Sector Survey

As privately held companies choose to remain private longer and defer their initial public offerings (IPOs), these companies are increasingly reliant on raising capital in successive private placements. New categories of…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Science, Computers, & Technology, Securities Law

SEC Advisory Committee on Small and Emerging Companies Meets

On July 19, 2016, the Advisory Committee on Small and Emerging Companies met to discuss the “accredited investor” definition, the Regulation A market, and the Commission’s recent proposal regarding the definition of “small…more
| Business Organizations, Finance & Banking, Securities Law

SEC Approves NASDAQ’s Proposed Rule on Golden Leash Arrangements

On July 1, 2016, the SEC approved NASDAQ’s proposed Rule 5250(b)(3), as amended by Amendment No. 2 filed on June 30, 2016 (the “Final Rule”), requiring NASDAQ-listed companies to publicly disclose third-party compensation…more
| Business Organizations, Labor & Employment Law, Securities Law

IPO Market Update

During the second quarter 2016, the IPO market improved with 34 IPOs raising approximately $5.5 billion, according to Renaissance Capital. While activity in the quarter was significantly higher than the first quarter (there…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

Agenda Announced for the July 19 SEC Advisory Committee Meeting

The agenda for the July 19 meeting of the SEC Advisory Committee on Small and Emerging Companies was recently announced. During the meeting, the Committee will consider the “Accredited Investor” definition recommendation as…more
| Business Organizations, Finance & Banking, Securities Law

Congressmen Question IPO Fees

Congressman Himes (CT) and eight other members of Congress wrote to FINRA and to the Securities and Exchange Commission questioning the typical 7% gross spread in U.S. IPOs. The letter appears to have been prompted by a…more
| Business Organizations, Elections & Politics, Finance & Banking, International Law & Trade, Securities Law

Disclosure Effectiveness Initiative Continues to Move Forward

On July 14, 2016, the Commission proposed for comment amendments that are intended to eliminate redundant, overlapping, outdated or superseded disclosure requirements. The amendments, if adopted, would apply to SEC reporting…more
| Business Organizations, Finance & Banking, Securities Law

SEC Advisory Committee Meeting

The SEC Advisory Committee on Small and Emerging Companies will hold its next meeting on Tuesday, July 19, 2016 at 9:30 a.m. EDT. The meeting will be open to the public and available via webcast on the SEC’s website…more
| Business Organizations, Securities Law

Investor Advocate Priorities

Recently, the SEC’s Investor Advocate released a report regarding the Office’s areas of focus for fiscal year 2017. The report notes that the Office of the Investor Advocate intends to monitor developments related to the SEC’s…more
| Business Organizations, Finance & Banking, Securities Law

SEC Announces New Investor Advisory Committee Members

The SEC announced the appointment of three new members to the Investor Advisory Committee. The Committee will hold its next meeting, which is open to the public, on July 14th. The agenda for the upcoming meeting includes a…more
| Business Organizations, Securities Law

SEC to Address Board Diversity

In a recent speech, SEC Chair Mary Jo White addressed board diversity. Chair White cited some important statistics in her remarks. She noted that minority directors on boards of the top 200 companies on the S&P 500 have…more
| Business Organizations, Civil Rights, Securities Law

FINRA Proposes Amendments to Communications Rule to Help Clarify Application to Debt Research Reports

On June 24, 2016, FINRA proposed amendments to its communications rule, Rule 2210, to help clarify the application of Rule 2210 to debt research reports, in light of the new debt research rule, Rule 2242. The implementation…more
| Finance & Banking
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Contact

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

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