News & Analysis as of

Securities Venture Capital

Mayer Brown

The Intersection of NAV and Margin Loans: Single Asset and Concentrated Asset Pools

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Executive Summary - Over the last several years, a need has arisen in the fund finance market, which caters to private equity, venture capital, family offices, and other investment funds (“Funds”) and their sponsors, for...more

Ward and Smith, P.A.

Companies Seeking Capital—Be Wary of "Consultants" Who Want to Help

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A significant part of our corporate practice is advising clients who want to raise capital.  For larger, institutional clients who attract the attention of reputable investment bankers, the process is straightforward....more

Mayer Brown Free Writings + Perspectives

At a Glance Initial Public Offerings 2023

An initial public offering (IPO) refers to the initial offering by a company of a class of its equity securities, usually with a contemporaneous listing of that class of securities on a national securities exchange....more

Baker Donelson

NVCA Revises Model Forms Post-Moelis Ruling

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The National Venture Capital Association (NVCA) is the self-designated flagship trade association of the venture capital (VC) industry. Its primary mission includes promoting consistency and efficiency in VC financing...more

K&L Gates LLP

Doing Business in Australia

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Australia welcomes new business and foreign investment by providing a strong economy, a stable political environment and a skilled and talented workforce. Our comprehensive guide to Doing Business in Australia has been...more

Wilson Sonsini Goodrich & Rosati

The Entrepreneurs Report - Full-Year 2023

In this latest issue of The Entrepreneurs Report, we've compiled a range of data on venture financing transactions, SAFE financings, and convertible note financings in which the firm was involved in 2023, with the objective...more

Vinson & Elkins LLP

Oil & Gas Funds and Section 3(c)(9) – New Life for a Forgotten Exception

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A fund primarily engaged in investing or trading in securities must register under the Investment Company Act, unless it falls under an exception to the definition of investment company. The exceptions are listed in Section...more

Foley & Lardner LLP

The Current State of FinTech

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FinTech has revolutionized the financial industry and presents incredible benefits for individuals, businesses, and the economy as a whole. Startups in this area have significantly increased accessibility to financial...more

Goodwin

Debt Download - July 2023

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Welcome to Debt Download, Goodwin's monthly newsletter covering what you need to know in the leveraged finance market. Are the debt capital markets this summer as hot as the weather? Read on to find out!...more

Vicente LLP

Financing New Ventures: 10 Key Considerations to Structure an Equity Raise for a New Company

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Raising money for a company is challenging. It can be even more challenging if you haven’t been through the process before and don’t know what decisions you need to make. In this article, we will lay out ten different...more

Brownstein Hyatt Farber Schreck

What Demo Day Sponsors and Presenting Companies Should Know About Rule 148

The SEC recently adopted Rule 148 to address whether companies that present at “demo days” held by angel investor groups, incubators or accelerators are participating in a “general solicitation” for investments under...more

Goodwin

Challenging Times: The Hardening D&O Insurance Market

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Directors and officers (D&O) liability insurance has always been an important tool to protect public companies and their management against claims by shareholders for violations of the securities laws, including claims for...more

Dechert LLP

FINRA Proposes Amendments to Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements)

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The Financial Industry Regulatory Authority, Inc. filed proposed amendments to FINRA Rule 5110 (Proposed Rule Change) with the Securities and Exchange Commission on April 11, 2019.1 Rule 5110 (Rule) imposes certain...more

Proskauer - The Capital Commitment

Fraud Claims Against Startup Founder Involving Secondary Market Sales Demonstrate SEC Focus on Privately-Held Companies

Last week the SEC announced a settlement of fraud claims against the founder of Jumio, Inc, a private mobile payments company, for misstating the company’s financial results and using those financials to sell his company...more

WilmerHale

In Case You Missed It: Launch Links - October, 2018 #2

WilmerHale on

Some interesting links we found across the web this week: ICOs vs. STOs: How to Know Which One Is Right for Your Business - Thinking of an ICO? Unless it’s a pure consumer token, one way to remove regulatory ambiguity...more

Proskauer - The Capital Commitment

The Top Ten Regulatory and Litigation Risks for Private Funds in 2017

Private investment funds and advisers are likely to face new regulatory challenges and increased litigation risks in 2017, not only because of a change in the administration, but also because many advisers have not corrected...more

Adler Pollock & Sheehan P.C.

Glossary of Important Securities Regulation Terms and Definitions

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

WilmerHale

April 2015 IPO Market Review

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The pace of the IPO market moderated in the first two weeks of April before gaining momentum to end the month with 14 IPOs—the highest monthly tally since the 21 IPOs in November 2014, although short of the monthly average of...more

Morrison & Foerster LLP - JOBS Act

Developments from Meeting of Advisory Committee on Small and Emerging Companies

The Committee discussed: Regulation A+; secondary market trading for private securities; venture capital exchanges; and the accredited investor definition....more

Cooley LLP

Alert: The European Venture Capital and Social Entrepreneurship Funds Regulations

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The European law on alternative investment fund managers (AIFMs) comes in three main parts: - The Alternative Investment Fund Managers Directive (AIFMD)...more

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