News & Analysis as of September 18, 2024

Crowdfunding › Offerings

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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,... 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 -

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

Nutter Securities Enforcement Update (22-01)

Nutter McClennen & Fish LLP on 2/1/2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more

Crowdfunding Considerations For Early Stage Companies

Mintz Edge on 11/11/2021

The Securities and Exchange Commission (the “SEC”) amended and expanded its capital raising rules for Regulation Crowdfunding (“Regulation CF”) in November 2020, effective in March 2021, to increase the amount that a company...more

Securities Safety Check for New TV Series “Unicorn Hunters”

Farrell Fritz, P.C. on 5/10/2021

A new reality streaming television series called Unicorn Hunters debuted last week in which startups will pitch to a panel that includes Apple co-founder Steve Wozniak, and the panelists after some grilling of the...more

Why Private Capital and Crowdfunding Markets Should be Nervous about President Biden’s Regulatory Freeze

Farrell Fritz, P.C. on 1/25/2021

A freeze on government regulation is generally perceived by most people as being a positive development for private enterprise. Not necessarily so, however, when the regulation being frozen is itself a reform of preexisting...more

Strict Traffic Rules for New Crowdfunding Vehicles – Part Three of Exempt Offering Amendments Deeper Dive

Farrell Fritz, P.C. on 1/11/2021

You just raised $1 million in your crowdfunding offering under Title III/Regulation CF. That’s the good news. The bad news? You now have over a thousand shareholders on your cap table, making it unwieldy, an administrative...more

Exempt Offering Amendments Deeper Dive, Part One: Higher Offering Caps

Farrell Fritz, P.C. on 12/14/2020

Last month, The Securities and Exchange Commission passed sweeping reforms of the rules governing exempt offerings (the “2020 Reforms”) to make it easier for issuers to move from one exemption to another, to bring clarity and...more

SEC Raises Threshold for Reg A+ Offerings to $75 Million; Improves “Patchwork” Exempt Offering Framework

Bass, Berry & Sims PLC on 12/8/2020

On November 2, the Securities and Exchange Commission (SEC) approved amendments, originally proposed in the SEC’s June 2019 concept release and March 2020 proposing release, to its “patchwork” exempt offering framework. The...more

SEC Amends Rules Governing Exempt Offerings

Orrick - Finance 20/20 on 12/1/2020

On November 2, the Securities and Exchange Commission (SEC) amended its rules governing exempt offerings. The amendments intend to harmonize the “patchwork” framework currently in place that governs exempt offerings....more

SEC Simplifies the Exempt Offering Framework

McGuireWoods LLP on 11/24/2020

On Nov. 2, 2020, the U.S. Securities and Exchange Commission (SEC) adopted final rules to “simplify, harmonize, and improve” the current exempt offering framework for the benefit of investors, emerging companies and more...more

SEC Amends Exempt Offering Framework

McDermott Will & Emery on 11/20/2020

On November 2, 2020, the Securities and Exchange Commission (SEC) voted to amend the framework for exempt offerings under the Securities Act of 1933, as amended (Securities Act). The amendments generally establish a new...more

SEC Rule Amendments Aim to Improve Exempt Offering Framework

Ballard Spahr LLP on 11/20/2020

Summary - Recent Securities and Exchange Commission rule amendments for exempt offerings are intended to harmonize registration exemptions to eliminate complexity and facilitate access to capital and investment—while...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 Adopts Rule Amendments Aimed at Expanding Access to Capital

Sheppard Mullin Richter & Hampton LLP on 11/17/2020

On November 2, 2020, the Securities and Exchange Commission adopted amendments intended to ease the rules for certain exempt offerings. These changes include increasing the annual cap on equity crowdfunding from $1.07 million...more

SEC Adopts Amendments to Exempt Offering Rules

Pillsbury Winthrop Shaw Pittman LLP on 11/16/2020

On November 2, 2020, the Securities and Exchange Commission (SEC) adopted amendments to its exempt offering rules, including Regulation D and Regulation A (Amendments). Many of the Amendments largely harmonize the existing...more

SEC Securities Act Rules Simplified, Improved

Steptoe & Johnson PLLC on 11/13/2020

The SEC amended the rules under the Securities Act of 1933 ("Act") to simplify, harmonize, and improve certain aspects of the exempt offering framework in order to promote capital formation while preserving or enhancing...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

Significant Exempt Offering Rule Reforms Approved by SEC to Facilitate Capital Formation

Farrell Fritz, P.C. on 11/9/2020

On November 2, 2020, the SEC adopted significant rule amendments to simplify, harmonize and improve the exempt offering framework to facilitate capital formation and investment opportunities in startups and emerging...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

SEC Modernizes Framework for Exempt Offerings

BCLP on 11/5/2020

In another 3-2 vote, on November 2, 2020 the SEC approved significant amendments to the framework for exempt offerings intended to harmonize and simplify the framework for exempt offerings under the Securities Act of 1933. ...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

SEC Harmonizes and Improves Exempt Offering Framework

Stinson - Corporate & Securities Law Blog on 11/3/2020

The SEC adopted final rules which the SEC believes harmonizes, simplifies, and improves the complex exempt offering framework....more

SEC Open Meeting on Exempt Offering Framework

Mayer Brown Free Writings + Perspectives on 10/28/2020

The Securities and Exchange Commission has announced an open meeting on November 2, 2020 to consider amendments relating to the exempt offering framework. The SEC had released proposed amendments for public comment in March...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

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