Emerging Growth Companies

Emerging Growth Companies (EGC) are companies with total yearly gross revenues of under $1 billion for the most recently completed fiscal year.  
News & Analysis as of

Advisory Committee on Small and Emerging Companies Meets Wednesday

The SEC’s advisory committee will meet this Wednesday to discuss and address means of promoting secondary market liquidity for the securities of small and emerging companies, including addressing the Section 4(a)(1-1/2)...more

SEC Advisory Committee to vote on definition of “Accredited Investor”, and to consider secondary market liquidity for securities...

The Securities and Exchange Commission announced today that the next meeting of its Advisory Committee on Small and Emerging Companies will focus on ways to increase the opportunities for investors in small and emerging...more

"SEC Proposes New Rules on Hedging Policy Disclosures"

On February 9, 2015, the U.S. Securities and Exchange Commission (SEC) released proposed rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank). Dodd-Frank amended Section...more

SEC's Proposed Disclosure Requirements for Hedging Transactions by Directors and Employees Would Apply to Issuers of All Sizes

On February 9, 2015, the SEC proposed amendments requiring disclosure in proxy and information statements regarding issuers' policies governing the entrance of employees, officers, and directors into hedging transactions...more

Toward a Transactional Exemption for Emerging Company Investments

In “Bringing the Individual Accredited Investor Definition into the 21st Century,” which was posted on December 18th of last year, it was suggested that there might be certain common venture capital transactional structures...more

SEC Advisory Committee on Small and Emerging Companies to Discuss “Accredited Investor” Definition

The Securities and Exchange Commission announced that its Advisory Committee on Small and Emerging Companies (Committee) will hold a public meeting on February 17 to vote on recommendations to the SEC regarding the definition...more

Corporate and Financial Weekly Digest - Volume X, Issue 5

In this issue: - SEC Advisory Committee on Small and Emerging Companies to Discuss “Accredited Investor” Definition - Glass Lewis Enhances its Pay-for-Performance and Equity Plan Models - SEC Issues New...more

Tech Industry Bulletin

In this Bulletin: - Intellectual Property: Guidance to the Upstart Tech Company for Protecting IP Rights - Mergers & Acquisitions: Five Legal Issues Entrepreneurs Should Consider Before Agreeing To an Earn-Out...more

Chinese Legal Overhaul to Impact Overseas IPOs, Private Equity Investments

On January 19, 2015, China’s Ministry of Commerce (MOFCOM) issued for comment a new draft foreign investment law that if implemented would be the most significant change to China’s foreign investment regime in at least the...more

Non-qualified Stock Options or Restricted Stock Awards?

Recently, an early-stage, high-growth client (a Delaware S corp.) called to ask whether, and when, to begin awarding stock options, in this case the non-qualified variety (NSOs), instead of using restricted stock grants to...more

New House Bill Aims to Reduce Some Dodd-Frank Regulatory Burdens

On January 24, 2015, the U.S. House of Representatives passed a bill that loosens certain Dodd-Frank requirements and reduces the scope of the SEC’s regulatory authority over certain private equity firms, small businesses,...more

Recap of 2014 Venture Capital Trends by Region

PitchBook just released is recap of 2014 venture capital trends by region, focusing on the most active regions and presenting the information in infographic form. ...more

Healthcare & Life Sciences Private Equity Deal Tracker: CardioDx Secures $35 Million in Financing

CardioDx, headquartered in Redwood City, Calif., is a molecular diagnostics company specializing in cardiovascular genomics. Participants in this round of financing included Alberta Investment Management Corp. and the...more

Bringing the Individual Accredited Investor Into the 21st Century

On December 17, 2014, the SEC’s Advisory Committee on Small and Emerging Companies (the “Committee”) held its first meeting in over a year. The transcript and an archive of the webcast of the meeting are not yet available,...more

Blog: Can You Patent Your Software?

Emerging companies often ask: “Is my idea patentable?” Many of these ideas relate to software. The patent eligibility of software is again a hot topic in the United States and around the world. Recent developments in US...more

Advisory Committee will Consider Accredited Investor Definition

The SEC announced that at the December 17th meeting of the Advisory Committee on Small and Emerging Companies, the group will focus on the definition of “accredited investor.” ...more

New Capital Raising Platform - TSX Private Markets To Help Private Companies Raise Money

In efforts to facilitate access to capital for emerging companies, the TMX Group has now launched TSX Private Markets, a new business designed to support efficient capital raising and secondary trading within Canada's exempt...more

House Passes Bill H.R. 5405 “Promoting Job Creation and Reducing Small Business Burdens Act”

On September 16, the House of Representatives passed H.R. 5405 “Promoting Job Creation and Reducing Small Business Burdens Act.” The bill addresses a number of Jumpstart Our Business Startups Act (JOBS Act)-related matters,...more

Promoting Job Creation Bill

The House of Representatives voted 320 to 102 to pass H.R. 5405 (Promoting Job Creation and Reducing Small Business Burdens Act) that contains a number of JOBS Act related measures that previously were the subject of...more

Reducing startup brain damage: Delaware moves to further streamline corporate processes for emerging companies

Proposed amendments to the Delaware General Corporations Law (DGCL) for 2014 aim to significantly streamline routine questions that often prove vexing for emerging growth companies and newly formed subsidiaries of larger...more

Mergers and Acquisitions are Back – The Impact on Emerging Companies

Recent statistics have confirmed what many executives, lawyers and advisors have sensed for the past few quarters: mergers and acquisitions of emerging technology companies, especially those in mobile, social, analytics and...more

Disclosure Overload and “Cutting the Clutter”

In various speeches recently, SEC representatives have addressed the need for disclosure reform following the December 2013 release of the JOBS Act-mandated Regulation S-K study. The disclosure review will begin by...more

8 IPO Market Trends in Honor of the JOBS Act's Second Anniversary

Two years ago, the JOBS Act became law. Title I of the JOBS Act significantly changed the IPO playbook, creating a new category of issuer called an emerging growth company (EGC) and rewriting the rules for EGC IPOs. We...more

The JOBS Act, Two Years Later: An Updated Look at the IPO Landscape

Two years ago, the Jumpstart Our Business Startups (JOBS) Act became law. Title I of the JOBS Act significantly changed the IPO playbook, creating a new category of issuer called an emerging growth company (EGC) and rewriting...more

Securities Update - March 2014

In December 2013, the Staff of the Securities and Exchange Commission’s Division of Corporation Finance issued to Congress its “Report on Review of Disclosure Requirements in Regulation S-K” (the S-K Study) that originally...more

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