Exemptions, Disclosure Requirements, Capital Raising

Raising Money: Regulation D and Private Placements

Dunlap Bennett & Ludwig PLLC on 5/24/2022

Many start-up founders and entrepreneurs, need to raise money for their new ventures. Typically, you would raise money through the sale of securities. What are securities?...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

Divided SEC Votes To Propose “Finder” Exemption From Broker Registration

Goodwin on 10/12/2020

On October 7, 2020, the U.S. Securities and Exchange Commission (“SEC”) voted 3-2 to propose a conditional exemption (“Exemption”) to permit natural persons to engage in limited securities activities as “finders” on behalf of...more

SEC: Time to revamp securities offering exemptions

White & Case LLP on 7/24/2019

SEC is seeking public comments in its concept release in an effort to simplify, harmonize and improve the existing exempt offering framework. On June 18, 2019, the Securities and Exchange Commission (the “SEC” or the...more

Regulation Crowdfunding

Morrison & Foerster LLP - JOBS Act on 10/30/2015

On October 30, 2015, the SEC voted to adopt final rules permitting crowdfunding. Regulation Crowdfunding allows issuers to engage in securities-based crowdfunding through the internet pursuant to Section 4(a)(6) of the...more

Uniform Disclosure Requirements: Possible or Aspirational?

Morrison & Foerster LLP - JOBS Act on 10/26/2015

Now that the Advisory Committee on Small and Emerging Companies and various industry groups are focused on the possibilities associated with modernizing Rule 147 and possibly reviewing the requirements for the Rule 504 and...more