Issuer Eligibility Criteria

News & Analysis as of

Rule 504 Becomes Useful Tool for Smaller Capital Raising and M&A Transactions

On October 26, 2016, the SEC amended Rule 504 of Regulation D under the Securities Act of 1933 (the “Securities Act”) to increase the maximum amount of securities that may be sold thereunder in any 12-month period from $1...more

SEC Proposes to Expand Smaller Reporting Company Eligibility

On June 27, 2016, the Securities and Exchange Commission (the “Commission”) proposed amendments to the definition of “smaller reporting company” (SRC) that would expand the number of companies that have this status. These...more

At-the-Market Offerings by Canadian Issuers

Recent capital markets conditions have made at-the-market (ATM) offerings an attractive alternative to traditional follow-on equity offerings. ATM offerings reduce execution risk by permitting equity to be sold into the...more

House of Representatives Pressing SEC to Broaden Definition of Accredited Investors

For several years now Congress has been at odds with the Securities Exchange Commission over reducing barriers to capital formation of new businesses in America and increasing access of everyday citizens to private...more

The SEC May 'Roll Tide' with respect to the Definition of 'Accredited Investor'

For most Floridians, as the calendar turns to December, the letters S-E-C tend to elicit thoughts of a certain Championship Game to be played at the Georgia Dome in Atlanta. However, drowning out the bellows of the Gators and...more

New Hampshire Adopts Uniform Securities Act

On January 1, 2016, a newly-adopted Uniform Securities Act will take effect in New Hampshire. The NH Securities Act is based on the Uniform Securities Act of 2002, which is a model statute designed to increase coordination...more

Small Business Securities Bulletin: SEC Adopts Long-Awaited Crowdfunding Rules

A periodic bulletin keeping small businesses informed about current developments in securities law and related matters. By way of background, pursuant to Section 5 of the Securities Act of 1933 (Securities Act) and state...more

Title III of JOBS Act Brings Non-Accredited Investors to Crowdfunding Table

The U.S. Securities and Exchange Commission (SEC) recently approved Title III of the JOBS Act, a significant development because the new regulations allow non-accredited investors – those making less than $200,000 a year in...more

SEC Adopts Regulation Crowdfunding

The Securities and Exchange Commission (SEC) has adopted Regulation Crowdfunding to implement the crowdfunding exemption from registration authorized by the Jumpstart Our Business Startups (JOBS) Act. The new rules will...more

SEC Finalizes Regulation Crowdfunding – Issuer Requirements

The United States Securities and Exchange Commission has issued final rules on Regulation Crowdfunding. This post analyzes the “Issuer Requirements” section of the SEC’s adopting release....more

USAC Request for Information Contemplates National Lifeline Eligibility Verifier With Verification Lag

On September 10, USAC posted a Request for Information (RFI)—usually a precursor to an RFP—to prospective vendors of a third party “national Lifeline eligibility verifier” system, proposed in the FCC’s pending Lifeline...more

Opening the Market: An Update on Direct Investment into Listed Shares in Saudi Arabia

After years of speculation that the Saudi Stock Exchange (Saudi Tadawul) may be opening up for direct investment by foreigners into listed entities in Saudi Arabia, the Capital Market Authority of Saudi Arabia (CMA) published...more

London Stock Exchange Publishes Draft Rulebook for New Fast-Growth Segment

Rulebook sets out criteria for admission to the high-growth segment, which has been designed to meet the needs of fast-growing European companies. On 13 February, the London Stock Exchange (LSE) published a draft...more

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