The Jump-Start Our Business Start-Ups Act

The Jump-Start Our Business Start-Ups Act is a United States federal law enacted in 2012 to increase start-up companies' access to capital by easing certain restrictions on seeking and soliciting private... more +
The Jump-Start Our Business Start-Ups Act is a United States federal law enacted in 2012 to increase start-up companies' access to capital by easing certain restrictions on seeking and soliciting private investment. less -
News & Analysis as of

September 2016 IPO Market Review

The IPO market produced 14 IPOs in September, representing the second highest monthly figure for 2016 and only one behind May’s tally of 15 IPOs. The month’s total represents the third-busiest September since 2000, trailing...more

August 2016 IPO Market Review

The IPO market continued its tepid pace in August, with the month producing seven IPOs. Over the first eight months of 2016, the tally of 54 IPOs represents less than half the number of IPOs over the first eight months of...more

In Case You Missed It: Launch Links - October, 2016 #2

Some interesting links we found across the web this week: White House: ‘A.I. holds the potential to be a major driver of economic growth and social progress’ - The closing months of the Obama Administration have...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - The CFPB Publishes Final Rule for Prepaid Accounts - On October 5, 2016, the Consumer Financial Protection Bureau (the "CFPB") finalized comprehensive consumer protections for...more

The JOBS Act And The Convergence Of Private And Public Sales Under The UCC

Section 9610(b) of the California Commercial Code provides that if commercially reasonable, a secured party may dispose of collateral by public or private proceedings, by one or more contracts, as a unit or in parcels, and at...more

Weekly Update Newsletter - October 2016

GOVERNMENT CONTRACTS - Prohibition on Contracting With Corporations with Delinquent Taxes or a Felony Conviction - The Department of Defense (“DOD”), General Services Administration (“GSA”), and National Aeronautics...more

SEC Seeks Public Input on Subpart 400 of Regulation S-K in Connection with its Disclosure Effectiveness Initiative

At the end of August, the U.S. Securities and Exchange Commission (SEC) issued a release seeking public input on the disclosure requirements found in Subpart 400 of Regulation S-K (Comments Request). Subpart 400 requires...more

TechConnect - Your Law Firm Link to Industry News - September 2016

Letter from the Editors - Dear Readers, The world of raising capital for emerging companies has experienced a revolution. Prior to the enactment of the JOBS Act in 2012, raising capital for private companies was...more

Various Ways to Raise Capital

The world of raising capital has been evolving over the last several years. Offerings of securities generally used to fall into two main buckets: (i) private placements under the old Rule 506 or (ii) a public offering. With...more

Updates from the Division of Corporation Finance

During the ABA Business Law Section Annual Meeting, at the Dialogue with the Director of the Division of Corporation Finance, hosted by the Federal Regulation of Securities Committee, Keith Higgins offered a comprehensive...more

Taking stock: Going public in volatile times

The third report in our Deal Dimensions series, written in collaboration with Mergermarket and launched today, reveals that a wave of IPOs could hit the global markets within the next 12 months. The study of senior executives...more

SEC Seeks Public Comment on Disclosure Requirements in Subpart 400 of Regulation S-K

On August 25, 2016, the Securities and Exchange Commission (SEC) announced that it is seeking public comment on Subpart 400 of Regulation S-K, which requires certain disclosures about an issuer’s management,...more

Preliminary Planning for the 2017 Proxy Season

For those who want to start preparing for the 2017 proxy season, our preliminary list of important considerations is set forth below: Directors’ and Officer’s Questionnaire - Nasdaq has adopted a rule requiring...more

SBA Final Rule on Mentor-Protégé Programs for All Small Businesses Becomes Effective

The Small Business Administration (SBA) issued a long-awaited final rule establishing a new, expanded mentor-protégé program that will allow all types of small businesses to qualify as protégés, while retaining, but slightly...more

Small Businesses, Big Opportunities – Recent SBA Expansion of the Mentor-Protégé Program

Effective August 24, 2016, the Small Business Administration (“SBA”) will fulfill the mandates of the Small Business Jobs Act of 2010 and the National Defense Authorization Act for Fiscal Year 2013 (“NDAA 2013”), which...more

The “Fix Crowdfunding Act” – What It Fixes And What It Doesn’t Fix

In early June, the U.S. House of Representatives, Financial Services Committee, approved the “Fix Crowdfunding Act” bill (or HR 4855). Maybe it’s the title of the bill that is misleading, but since then I have seen multiple...more

Late-Stage Private Placements: A Life Sciences Sector Survey

As privately held companies choose to remain private longer and defer their initial public offerings (IPOs), these companies are increasingly reliant on raising capital in successive private placements. New categories of...more

Weekly Update Newsletter - July 2016 #3

GOVERNMENT CONTRACTS - Small Business Mentor-Protégé Programs - The U.S. Small Business Administration (“SBA”) is amending its regulations to implement provisions of the Small Business Jobs Act of 2010, and the...more

We sure have a lot of shareholders – do we need to start reporting to the SEC? – JOBS Act, Section 12(g) and Record Keeping

After several rounds of financing, many equity awards to employees and maybe a couple of acquisitions (using company stock for payment), some late stage start-up companies end up with very large cap tables. At some point,...more

Capital Markets & Public Companies Quarterly: Catching up on the SEC's Active Second Quarter

In Depth - New SEC C&DIs Regarding Non-GAAP Financial Measures - On May 17, 2016, the SEC issued several new Compliance & Disclosure Interpretations (C&DIs) and modified existing C&DIs to provide additional...more

US IPO Guide 2016 Edition

This is our initial public offering guide. It will help you decide whether an IPO is the right move for your company and, if so, help you make sure your IPO goes off as quickly and as smoothly as possible, without any...more

PACES Act Means Big Changes for Crowdfunding in North Carolina

Just days ago--on June 29--the North Carolina General Assembly passed a crowdfunding bill, which the Governor is expected to sign shortly. What does this mean for North Carolina businesses and North Carolina investors?...more

"The JOBS Act: Did It Accomplish Its Goals?"

In the wake of the 2008 financial crisis, Congress created the Jumpstart Our Business Startups Act (JOBS Act) to encourage capital formation in order to grow businesses, create jobs and spur economic activity. Congress and...more

Fix Crowdfunding Act and Venture Capital Bill Pass House

The Fix Crowdfunding Act (H.R. 4855) passed the House of Representatives by a vote of 394 to 4. It doesn’t look much like the original bill we reported on here. As passed by the House, the bill allows special purpose...more

Follow The Leader: Why The U.S. Needs A Federal Tax Credit For Angel Investors

The UK crowdfunding market is the leading, and most successful, crowdfunding market for several reasons. Arguably the primary reason for their success is that the UK tailored, and continues to tailor, their securities laws...more

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