News & Analysis as of

Crowdfunding › Dodd-Frank Wall Street Reform and Consumer Protection Act › Securities and Exchange Commission (SEC)

Crowdfunding is a method for raising capital whereby many individuals network and pool their funds, usually via the internet or social media. Crowdfunding methods are used in a variety of circumstances including,... more +
Crowdfunding is a method for raising capital whereby many individuals network and pool their funds, usually via the internet or social media. Crowdfunding methods are used in a variety of circumstances including, but not limited to, supporting charitable organizations, disaster relief, product development, artistic projects, and financing start-up companies. The passage of the JOBS Act of 2012 sought to broaden the use of crowdfunding in developing private capital for start-up companies by relaxing certain SEC investor registration requirements. less -
Goodwin

SEC Stays Busy With Amendments And Extensions To Various Rules, Definitions And Disclosures

Goodwin on

In the News. The Securities and Exchange Commission (SEC) adopted final rules to update and expand the statistical disclosures that bank and savings and loan registrants must provide to investors for the first time in 30...more

Farrell Fritz, P.C.

Good Choice: Important Capital Formation Reforms in Financial CHOICE Act of 2017 Passed by House

Farrell Fritz, P.C. on

On June 8, 2017, the House of Representatives passed the Financial CHOICE Act of 2017 on a vote of 233-186. Congress loves acronyms, and here “CHOICE” stands for Creating Hope and Opportunity for Investors, Consumers and...more

Morrison & Foerster LLP - JOBS Act

Legislation Relating to Capital Formation

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As the 115th United States Congress is currently in session, a number of bills designed to promote capital raising for companies have been introduced in both the House and the Senate. In the last two months, both the House...more

Stoel Rives LLP

In Case You Missed It - Interesting Items for Corporate Counsel - April 2017

Stoel Rives LLP on

A host of things happened in the last few months regarding Conflict Minerals, although likely not much that will affect what a public company reports on its Form SD, due May 31. (Spoiler alert: The same thing companies have...more

Stinson - Corporate & Securities Law Blog

A Window into Trump’s SEC?

Stinson - Corporate & Securities Law Blog on

Insights into an SEC composed of Trump appointees can be gleaned from Financial Services Committee Chairman Jeb Hensarling’s (R-TX) opening statements at a committee hearing on SEC oversight, with testimony by outgoing SEC...more

Akin Gump Strauss Hauer & Feld LLP

The SEC Speaks in 2016: Division of Corporation Finance Panel

Akin Gump Strauss Hauer & Feld LLP on

Senior members of the Division of Corporation Finance (“Corp Fin”) of the U.S. Securities and Exchange Commission (SEC) gathered with two former SEC commissioners at the Practising Law Institute’s annual “SEC Speaks”...more

Morrison & Foerster LLP - JOBS Act

JOBS Act Quick Start – A Brief Overview of the JOBS Act, 2016 Update

Morrison & Foerster LLP - JOBS Act on

Many market participants were taken by surprise by the enactment of the Jumpstart Our Business Startups (JOBS) Act. The JOBS Act, HR 3606, was passed by the United States House of Representatives on March 8, 2012. On March...more

Cozen O'Connor

Securities Law and Corporate Governance Developments: A Look Back at 2015 and a Preview of 2016

Cozen O'Connor on

Initiatives by Congress, the Securities and Exchange Commission (SEC), activist shareholders, and federal and state courts from 2015 will reshape public company disclosure and policies, and offer new avenues for private...more

Skadden, Arps, Slate, Meagher & Flom LLP

"SEC Rulemaking Update: A Year of Changes, With More to Come"

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Last year, the Securities and Exchange Commission (SEC) made major progress in completing its rulemaking mandates under the Jumpstart Our Business Startups Act (JOBS Act) and the Dodd-Frank Act. Additionally, Congress enacted...more

Stinson - Corporate & Securities Law Blog

Get Ready for Crowdfunding

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The SEC is expected to vote today to approve final rules to implement Title III of the JOBS Act, which will permit so-called equity crowdfunding for the first time. It has been some three years since the SEC was tasked with...more

Goodwin

Financial Services Weekly News - October 2015 #4

Goodwin on

Regulatory Developments - SEC to Vote on Final Title III Crowdfunding Rules Oct. 30: The SEC has announced that it will vote on whether to adopt rules and forms related to the offer and sale of securities through...more

Adler Pollock & Sheehan P.C.

Glossary of Important Securities Regulation Terms and Definitions

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This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

Stoel Rives LLP

In Case You Missed It - Interesting Items for Corporate Counsel - July 2015

Stoel Rives LLP on

The SEC has finally proposed clawback rules, here, required by Section 954 of the Dodd-Frank Act. When adopted, the rules will require stock exchanges to propose and adopt listing standards that implement the requirements;...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest - Volume X, Issue 23

Katten Muchin Rosenman LLP on

In This Issue: - Meeting of the SEC Advisory Committee on Small and Emerging Companies - FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring...more

Cooley LLP

Blog: Republicans To SEC Chair: Delay Pay Ratio Rules. Is A Repeal Attempt In The Offing?

Cooley LLP on

The WSJ reports that three Republican congressman — House Financial Services Committee Chairman Jeb Hensarling, and Reps. Scott Garrett and Bill Huizenga — have written to SEC Chair Mary Jo White urging that the SEC stop...more

Goodwin

Financial Services Weekly News Roundup - November 2014 #3

Goodwin on

FINRA Requests Comment on Proposed “Pay-to-Play” Rule - FINRA issued Regulatory Notice 14-50 requesting comment on proposed “pay-to-play” and related rules that would regulate in a manner similar to Rule 206(4)-5 under...more

Stinson - Corporate & Securities Law Blog

SEC Finds Crowdfunding Website a General Solicitation and Violated Broker-Dealer Rules

Stinson - Corporate & Securities Law Blog on

In a settled enforcement action, the SEC alleged the defendant failed to implement procedures reasonably designed to prevent U.S. persons from accessing and investing in securities through its crowdfunding website. The...more

Pillsbury Winthrop Shaw Pittman LLP

Practical Implications of the JOBS Act Changes to Private Placements: Rule 506(c), Crowdfunding, and Reg A+

Pillsbury Winthrop Shaw Pittman LLP on

Two key features of the JOBS Act – general solicitation in Rule 506 offerings, and the increased thresholds at which an issuer will be required to register a class of securities under the Securities Exchange Act of 1934 (the...more

Broker-Dealer Compliance + Regulation

JOBS Act Quick Start - A brief overview of the JOBS Act - 2014 Update

Broker-Dealer Compliance + Regulation on

In This Issue: - Introduction - The IPO on-ramp - The IPO Process - Applying Title I to other transactions - Private offerings - Crowdfunding - Regulation A+ - Exchange...more

Morrison & Foerster LLP - JOBS Act

Remarks of Sebastian Gomez Abero, Chief of the SEC’s Office of Small Business Policy, in an ALI Webcast Titled “Crowdfunding and...

Morrison & Foerster LLP - JOBS Act on

On May 22, 2014, Sebastian Gomez Abero, Chief of the Office of Small Business Policy of the Division of Corporation Finance of the SEC, spoke about the SEC’s crowdfunding and Regulation A+ proposals. Mr. Gomez commented...more

Morrison & Foerster LLP

Recommendations of the SEC’s Investment Advisory Committee Regarding Crowdfunding Rules

Morrison & Foerster LLP on

On April 10, 2014, the Investor Advisory Committee (the “IAC”) of the Securities and Exchange Commission (the “SEC”) held a meeting during which it recommended that the SEC adopt crowdfunding rules that are both consistent...more

Davis Wright Tremaine LLP

Crowdfunding: When Will the Rules Be Done?

Davis Wright Tremaine LLP on

The startup community is getting excited and antsy. The comment period on the SEC’s crowdfunding rules ended February 3. The speculation has begun – when will the rules be final? Could it be this summer? My answer: Who...more

Perkins Coie

Financial Services Bulletin: Action At Federal Agencies

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SEC Proposes Crowdfunding Rules - On Wednesday, October 23, 2013, the Securities and Exchange Commission (the "SEC") voted unanimously to propose rules to permit companies to offer and sell securities through...more

Akin Gump Strauss Hauer & Feld LLP

SEC Issues Proposed Rules on Crowdfunding Capital Markets

Akin Gump Strauss Hauer & Feld LLP on

Yesterday, the SEC proposed rules to permit companies to offer and sell securities through crowdfunding, as required by the Jumpstart Our Business Startups Act of 2012. Crowdfunding, which has become popular in recent years...more

Stinson - Corporate & Securities Law Blog

General Solicitation – Week One – Flying Cars And More

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It began with announcements like this from AngelList. For just $99 plus $25 per investment, wefunder will let you create a create a “beautiful profile” and send updates to followers, and provide free investment contracts,...more

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