News & Analysis as of September 25, 2024

Crowdfunding › Investment

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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 -

Upcoming SEC Small Business Advisory Committee

Mayer Brown Free Writings + Perspectives on 4/29/2024

The Securities and Exchange Commission announced an upcoming meeting of its Small Business Capital Formation Advisory Committee on May 6, 2024. The meeting will include a discussion of Regulation Crowdfunding (Reg CF) and...more

Left Atrial Appendage Occlusion Device Maker Conformal Medical Raises $35 Million in Oversubscribed Series D Round

Knobbe Martens on 6/21/2023

On June 5, 2023, Conformal Medical Inc., developer of a left atrial appendage occlusion system, announced a successful Series D funding round, raising a total of $35 million. The round was led by SPRIG Equity with...more

Ninth Circuit Holds that Social Media Posts May Give Rise to “Seller” Liability Under Section 12(a)(2) of the Securities Act of...

Sheppard Mullin Richter & Hampton LLP on 1/4/2023

In Pino v. Cardone Capital, LLC, 2022 U.S. App. LEXIS 35278 (9th Cir. Dec. 21, 2022), the United States Court of Appeals for the Ninth Circuit (Lynn, J.) joined with the Eleventh Circuit in holding that a person may qualify...more

Global VC Funding Trends in 2022 Q3

Mayer Brown Free Writings + Perspectives on 11/28/2022

The CB Insights’ State of Venture Report for the third quarter of 2022 notes that global venture funding declined to $74.5 billion in the third quarter, down 58% from the funding peak in the fourth quarter of 2021. This...more

Liquidity Challenges for Investors in Emerging Businesses

Mayer Brown Free Writings + Perspectives on 8/1/2022

The US Securities and Exchange Commission’s (“SEC”) Small Business Capital Formation Advisory Committee (the “Committee”) released the agenda for its virtual meeting, to be held on Tuesday, August 2, 2022, and which plans to...more

Recalibrating Regulation of Private Markets?

Mayer Brown Free Writings + Perspectives on 5/2/2022

In various public statements of late, representatives of the Securities and Exchange Commission have noted concern regarding the growth of the private markets. The statements have pointed to the fact that fundraising in the...more

A Critical Look at Equity Crowdfunding

Foley & Lardner LLP on 5/24/2021

Traditionally, the world of startup investing was not for “main street”, and was the private preserve of venture capitalists, venture debt lenders, private equity and angel investors (accredited investors), high net worth...more

Do I Need a Private Placement Memorandum to Raise Investment Capital?

Foster Swift Collins & Smith on 3/15/2021

The short answer is that it depends, but it is usually advisable and sometimes required. Let’s dig deeper. Initially, let’s discuss what a PPM is. A PPM is a document that discloses information regarding the company that is...more

SEC Harmonizes and Improves “Patchwork” Exempt Offering Framework

Alston & Bird on 12/2/2020

Our Securities Group breaks down new final rules that the Securities and Exchange Commission hopes will maintain investor protections while eliminating regulatory uncertainty....more

The SEC Adopts Amendments to Regulation Crowdfunding

Kilpatrick on 11/25/2020

On November 2, 2020, the Securities and Exchange Commission adopted amendments to expand Regulation Crowdfunding by increasing offering limits, revising certain investment limits and permitting the use of certain special...more

U.S. SEC Adopts Amendments Harmonizing The Exempt Offering Framework

Morrison & Foerster LLP on 11/19/2020

On November 2, 2020, the U.S. Securities and Exchange Commission (SEC) voted to amend its rules to harmonize, simplify, and improve the exempt offering framework. The SEC believes that these amendments will promote capital...more

SEC Harmonizes and Improves “Patchwork” Private Offering Framework

Mintz - Securities & Capital Markets... on 11/13/2020

On November 2, the SEC adopted amendments designed to harmonize and simplify the existing, complicated framework of private offering exemptions—the primary method by which private companies raise capital. The amendments...more

SEC Adopts Amendments Facilitating Opportunities for Access to Additional Capital

Fenwick & West LLP on 11/12/2020

The U.S. Securities and Exchange Commission has issued a release adopting amendments (“final rules”) to certain of its rules relating to exemptions from registration under the Securities Act of 1933 (Securities Act). The...more

SEC Votes to Harmonize and Improve “Patchwork” Exempt Offering Framework

Cozen O'Connor on 11/6/2020

On November 2, 2020, the U.S. Securities and Exchange Commission (the SEC), by a 3 – 2 vote, amended certain rules under the Securities Act of 1933 (the Securities Act) in order to harmonize, simplify, and modernize the...more

Exempt Offering Framework Amendments

Mayer Brown Free Writings + Perspectives on 11/4/2020

On November 2, 2020, the U.S. Securities and Exchange Commission (SEC) voted to adopt amendments proposed in March 2020 that harmonize and modernize the exempt offering framework (referred to as the Amendments). As with...more

Raising Capital Post-COVID-19 – What Now?

Rosenberg Martin Greenberg LLP on 6/10/2020

Right about now, many business owners are asking themselves – what’s next? How can I sustain my business? Where can I obtain additional financing? What if I need quick access to capital? Am I out of options?...more

SEC Provides Temporary Relief from Certain Regulation Crowdfunding Requirements in Response to COVID-19

Orrick, Herrington & Sutcliffe LLP on 5/28/2020

On May 4, 2020, the SEC adopted temporary final rules, in light of the effects of the COVID-19 pandemic, that eased Regulation Crowdfunding requirements in order to make it easier for small businesses to raise money through...more

COVID-19 Capital Needs Addressed by Temporary Relaxation of Title III Crowdfunding Rules

Farrell Fritz, P.C. on 5/19/2020

Title III crowdfunding may be an attractive capital raising alternative during the current Coronavirus pandemic because it allows companies to use the internet to solicit potential investors and not be restricted to...more

SEC Proposes to Expand Private Offerings

Cozen O'Connor on 3/12/2020

On March 4, 2020, the Securities and Exchange Commission (SEC) proposed broad changes to the current private offering framework. Recognizing the growing market for private investments, this is the latest in a series of recent...more

Information Asymmetry and Equity Crowdfunding

Mayer Brown Free Writings + Perspectives on 4/5/2019

In a recent paper, “Equity Crowdfunding and Governance: Toward an Integrative Model and Research Agenda,” Douglas J. Cumming, Tom Vanacker, and Shaker A. Zahra consider the governance mechanisms in equity crowdfunded...more

As fundraising methods continue to diversify, the DFSA provides a robust regulatory framework for equity and loan based...

Hogan Lovells on 2/22/2018

On 1 August 2017, the Dubai Financial Services Authority ("DFSA"), the regulator of financial services and securities in the Dubai International Financial Centre free zone ("DIFC"), introduced a regulatory framework for loan...more

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Crowdfunding › Investment

Upcoming SEC Small Business Advisory Committee

Left Atrial Appendage Occlusion Device Maker Conformal Medical Raises $35 Million in Oversubscribed Series D Round

Ninth Circuit Holds that Social Media Posts May Give Rise to “Seller” Liability Under Section 12(a)(2) of the Securities Act of...

Global VC Funding Trends in 2022 Q3

Liquidity Challenges for Investors in Emerging Businesses

Recalibrating Regulation of Private Markets?

A Critical Look at Equity Crowdfunding

Do I Need a Private Placement Memorandum to Raise Investment Capital?

SEC Harmonizes and Improves “Patchwork” Exempt Offering Framework

The SEC Adopts Amendments to Regulation Crowdfunding

U.S. SEC Adopts Amendments Harmonizing The Exempt Offering Framework

SEC Harmonizes and Improves “Patchwork” Private Offering Framework

SEC Adopts Amendments Facilitating Opportunities for Access to Additional Capital

SEC Votes to Harmonize and Improve “Patchwork” Exempt Offering Framework

Exempt Offering Framework Amendments

Raising Capital Post-COVID-19 – What Now?

SEC Provides Temporary Relief from Certain Regulation Crowdfunding Requirements in Response to COVID-19

COVID-19 Capital Needs Addressed by Temporary Relaxation of Title III Crowdfunding Rules

SEC Proposes to Expand Private Offerings

Information Asymmetry and Equity Crowdfunding

As fundraising methods continue to diversify, the DFSA provides a robust regulatory framework for equity and loan based...

The JOBS Act at Five: Congressional Hearing Highlights Need for Further Reform

New Belgian Crowdfunding Law: Requirements and Tax Benefits

China's Stringent New Rules on Yuan Transfers Could Hinder EB-5 Fundraising

Final MNvest Rules Adopted

Crowdfunding › Investment

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