News & Analysis as of

Registration Securities and Exchange Commission (SEC) Investors

Cozen O'Connor

New York AG James Urges Cryptocurrency Investors to Step Forward

Cozen O'Connor on

New York AG Letitia James has issued an Investor Alert urging New Yorkers affected by the recent crash in the cryptocurrency market to contact her office. Since the beginning of the year, investors have lost hundreds of...more

Sheppard Mullin Richter & Hampton LLP

SEC Tightens Alternative Trading Platform Oversight

On July 18, 2018, the SEC ramped up its oversight of alternative trading systems (“ATSs”) by adopting a series of rule amendments imposing public disclosure requirements on ATSs that trade NMS (“National Market System”)...more

Morrison & Foerster LLP - JOBS Act

Matchmaking Basics: How it Works, Current Regulations and Key Considerations

Background - “Matchmaking sites,” also referred to as “matchmaking platforms,” have come to play a more significant role in capital formation in recent years. A matchmaking site generally relies on the Internet in...more

Burns & Levinson LLP

Crowdfunding: SEC Proposes to Exempt From Registration Internet Offerings Up to $1 Million

Burns & Levinson LLP on

Late in 2013, the Securities and Exchange Commission (SEC) proposed new rules that would, if approved, authorize the use of the Internet for so-called crowdfunding campaigns seeking up to $1 million per 12-month period from...more

Troutman Pepper

No Easy A: SEC Proposes Rules For Regulation A+

Troutman Pepper on

In the last of its major rulemaking proposals under the JOBS Act, on December 18, 2013, the U.S. Securities and Exchange Commission (SEC) voted to publish proposed rules to modify and develop Regulation A, the so-called (and...more

Akin Gump Strauss Hauer & Feld LLP

SEC Proposes Rules for Regulation A+

Regulation A currently permits issuers to conduct a limited-scale public offering and subjects issuers that use it to a lighter compliance burden as compared with larger public offerings. However, because of the costs of...more

Carlton Fields

Concurrent EB-5 Offerings In The United States And Abroad

Carlton Fields on

Until recently, U.S. offerors and others had to make offerings of EB-5 project investments solely offshore in order to benefit from Regulation S, an exclusion from registration requirements. The offerors had to exclude...more

Troutman Pepper

Resales Of Restricted And Control Securities Under Rule 144

Troutman Pepper on

By progressively shortening the Rule 144 holding period for resales of restricted securities, the Securities and Exchange Commission has enhanced such securities’ liquidity and reduced the overall cost of raising capital. The...more

Morrison & Foerster LLP

Crowdfunding: Caveat Emptor?

How different are the markets for crowdfunding—an emergent online platform for raising small sums from multiple investors—in the U.S. and the U.K? “While Title III of the JOBS Act would establish an SEC exemption for...more

Proskauer Rose LLP

SEC Staffer Cautions Private Funds Industry on Potential Broker Registration Issues

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In a recent speech given to the ABA Trading and Markets Subcommittee, David W. Blass (Chief Counsel of the SEC's Division of Trading and Markets) focused on a number of activities commonly conducted by private fund advisers...more

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