Safe Harbors › Accredited Investors

JOBS Act Update - SEC Proposed Rules for "Private Offerings" with Advertising Draw Fire

Regulation D offerings are a very important part of capital formation. In recent years, annual proceeds from Regulation D private offerings have totaled almost $1 trillion, approximately equal to the proceeds from all SEC...more

Keeping Two Offerings from Being One Illegal One – Bruce E. Methven

If a company makes two securities offerings too close together, the securities regulators may consider the two offerings “integrated”, meaning two parts of a single offering. That can violate the requirements of the...more

Dodd-Frank Reform Bill May Put a Damper on Private Placements

Two little-noted provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), enacted on July 21, have the potential to make less attractive a "safe harbor" exemption for private...more