News & Analysis as of

Regulation A

In Case You Missed It - Interesting Items for Corporate Counsel - April 2017

by Stoel Rives LLP on

A host of things happened in the last few months regarding Conflict Minerals, although likely not much that will affect what a public company reports on its Form SD, due May 31. (Spoiler alert: The same thing companies have...more

SEC Staff Guidance on Regulation A Offerings

On March 31, 2017, the SEC Staff published five Compliance and Disclosure Interpretations (C&DIs) relating to Regulation A. ...more

Regulation A+ Issuer Aims for NYSE MKT Listing

Myomo, Inc. has had an offering statement qualified by the SEC in which it discloses an intent to apply to list its common stock on the NYSE MKT LLC. The offering seeks to raise $15 million on a “best efforts” basis without...more

SEC Issues Order Temporarily Suspending Issuer’s Ability to Utilize Regulation A

On February 28, 2017, the SEC issued an order (the “Order”) temporarily suspending the ability of Web Debt Solutions, LLC (“Web Debt”) to utilize Regulation A, pursuant to its authority under Securities Act Rule 258. The...more

Can It Be That California, “The Biggest Loser” Is Also Number One?

by Allen Matkins on

In February, I published a post entitled Is California “The Biggest Loser”. My reference was to Professor Lynn LoPucki’s finding that “California, home to 1,210 [public] companies but state of incorporation for only 112, is...more

Initial Results Validate Crowdfunding Reforms

by Ward and Smith, P.A. on

Beginning in 2012 America started a bold experiment to prove that: Less is more; and, Addition by subtraction works. The experiment tested whether reducing government regulation would produce better...more

In Case You Missed It - Interesting Items for Corporate Counsel - January 2017

by Stoel Rives LLP on

The SEC published a white paper about Regulation A+, What Do We Know So Far?, here. Since changes to Regulation A in June 2015, there have been 147 Regulation A offerings, seeking $2.6 billion, that have raised about $190...more

Agenda Announced For Next SEC Advisory Committee On Small And Emerging Companies Meeting

The SEC’s Advisory Committee on Small and Emerging Companies announced its agenda for its upcoming February 15 meeting. The committee will discuss...more

Updated Market Statistics

At the 35th Annual Federal Securities Institute, a representative of the Securities and Exchange Commission shared some market data....more

Regulation A+: A Capital-Rising Method that is Ready for Franchising

by Baker Donelson on

In a prior article published in Franchising Today, we addressed the intersection of franchises and crowdfunding, a method of business financing which was made legal through rulemaking on the part of the Securities and...more

Outcomes of Investing in OTC Stocks

The Division of Economic and Risk Analysis (DERA) of the Securities and Exchange Commission published a study recently that reviews, among other things, the performance of and the returns of investing in OTC stocks. The...more

SEC Publishes Regulation A+ Statistics

The SEC has published a white paper describing the types of Regulation A+ offerings to date. Facts published include: As of October 31, 2016, prospective issuers have publicly filed offering statements for 147 Regulation...more

Corporate Communicator - 2017 Annual Meeting Season

by Snell & Wilmer on

Dear clients and friends, We present our traditional year-end issue of Snell & Wilmer’s Corporate Communicator to help you prepare for the upcoming annual report and proxy season. This issue highlights SEC reporting and...more

SEC Releases White Paper on Regulation A+ Offerings

On December 7, 2016, the SEC released a white paper on Regulation A+ offerings titled “Regulation A+: What Do We Know So Far?” The white paper analyzes Regulation A+ offerings conducted from the effective date of Regulation...more

NASAA Proposes Model Rule Permitting Testing the Waters in Tier 1 Regulation A Offerings

On December 7, 2016, the North American Securities Administrators Association (“NASAA”) proposed a model rule, a model statutory amendment and a Solicitation of Interest Form permitting testing the waters in Tier 1 Regulation...more

The Financial Report, Volume 5, Number 22 - December 2016

by DLA Piper on

Discussion and Analysis - Whenever a pendulum swings too far in one direction, it is inevitable that it will swing back in the opposite direction. Some simply refer to this as a “reversion to the mean.” Tuesday’s...more

SEC Issues New C&DIs on Regulation A and Regulation D

On November 17, 2016, the staff of the SEC’s Division of Corporation Finance (the “Staff”) issued four new compliance and disclosure interpretations (“C&DIs”) addressing aspects of offerings under Regulation A and Regulation...more

Four Eye-Opening New C&DIs Issued by the SEC’s Division of Corporation Finance

The SEC’s Division of Corporation Finance released four new compliance and disclosure interpretations (C&DIs) on November 17th addressing aspects of offerings under Regulation A and Regulation D. The staff’s new...more

[Webinar] Online Public Offerings and Everything You Need to Know - Dec. 5th, 1:00 pm EST

by Smith Anderson on

December 5, 2016 A live webinar presented by StartEngine's CEO Ron Miller, Command Partners' CEO Roy Morejon and Smith Anderson Partner Benji Jones. This webinar will focus on the legal, marketing and platform components to...more

SEC Eases Rules on Intrastate Crowdfunding

On October 26 the Securities and Exchange Commission (SEC) unanimously adopted new and amended rules aimed at making it easier for companies to raise money from investors through intrastate and small offerings....more

SEC Suspends Regulation A+ Offering

In the first action of its kind, the SEC has temporarily suspended the Tier 2 Regulation A+ offering of Med-X, Inc. The $15 million continuous offering of common stock was qualified by the SEC on November 3, 2015. ...more

Should Tweener Corporations Include This Provision In Their Equity Compensation Plans?

by Allen Matkins on

I have previously commented on the phenomenon of what I call the “tweener” corporation. See Will The Rise Of Tweener Corporations Increase Focus On California’s Annual Report Statute? These are corporations that are not...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

Direct-to-Consumer Equity Offerings: Are Loyal Customers Happy Shareholders?

by Morrison & Foerster LLP on

“Direct-to-consumer” offerings enable companies to raise capital directly from their customers, with or without the use of underwriters or other financial intermediaries. Direct-to-consumer offerings have garnered attention...more

SEC Advisory Committee on Small and Emerging Companies Meets

On July 19, 2016, the Advisory Committee on Small and Emerging Companies met to discuss the “accredited investor” definition, the Regulation A market, and the Commission’s recent proposal regarding the definition of “small...more

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