News & Analysis as of

Alberta Securities Commission and Nunavut Securities Office Publish Proposed Start-up Business Exemption

The Alberta Securities Commission (ASC) and Nunavut Securities Office recently published for comment proposed Multilateral Instrument 45-109 Prospectus Exemption for Start-Up Businesses (the Proposed Exemption). The Proposed...more

Your daily dose of financial news The Brief – 11.18.15

The Journal reports that Federal prosecutors are “actively pursuing” criminal cases against executives from RBS and JPMorgan for the toxic securities sold in the lead-up to the 2008 financial crisis. If filed, the charges...more

Manatt Digital Media - November 2015

This month's newsletter features highlights from the Siemer Summit in Beverly Hills, the SLUSH conference in Helsinki and conversations with the founders of emerging tech start-ups in sensor data technology and virtual...more

“Better, Faster, Stronger” — Identifying and Protecting Your Competitive Differentiators

Competitive differentiators are the beneficial and unique aspects of your product or service compared to those of competitors. These qualities may provide benefits to consumers, such as a useful and unique feature, more...more

Domain Name Strategies for Start-Up Companies

Just as it is important for start-up companies to be mindful of early-stage trademark and copyright protection strategies (see our guides entitled “Trademark Strategies for Start-Up Companies” and “Copyright Strategies for...more

Alberta and Nunavut Propose Start-up Business Exemption

On October 19, 2015, the Alberta Securities Commission and the Nunavut Securities Office (the Regulators) published for comment Multilateral Instrument 45-109 – Prospectus Exemption for Start-up Businesses (MI 45-109 or the...more

5 Key Considerations When Negotiating a License Agreement

License agreements can be a great way for a start-up company to generate revenue from sources other than the founders/funders. Start-ups can license their technology separately, or as part of a collaboration with another...more

3 Takeaways from the Empire Startups Fintech Conference

On November 10, attorneys from Davis Wright Tremaine LLP attended the Empire Startups Fintech Conference in San Francisco, CA. Partner Wendy Kearns moderated a panel called “Traditional FinServ – Where to Disrupt and When to...more

Key Considerations for Companies Seeking Early Stage Funding

From accelerators to crowdfunding, and angel funding to venture capital, early stage funding is evolving. At the 2015 FOLEYTech Summit, the speakers on “Exploring the Evolution of Early Stage Funding” panel discussed some of...more

SEC Finally Adopts “Regulation Crowdfunding”

The SEC’s final crowdfunding rules, which are largely consistent with the proposed rules, provide broader access to capital for startups and small businesses, though concerns over cumbersome disclosure and regulatory...more

Blog: A Few Nuggets For Smaller Companies Buried In The Drive Act

The House has passed a new transportation bill, HR 22, the “Drive Act” – not normally something to write about in the PubCo blog. (Originally, this bill appears to have been the “Hire More Heroes Act,” but was somehow...more

Before Selecting Business Form, What Is Important To Consider? P.1

Building a successful business is not an easy matter, and a lot of planning and learning from mistakes go into it. Success is not always quick, either. Sometimes it can take years before a company is able to carve out a...more

SEC Proposes Rule Changes to Pave the Way for Intrastate and Regional Offerings

At the same time the Securities and Exchange Commission (the “SEC”) adopted rules implementing Regulation Crowdfunding pursuant to Title III of the Jumpstart Our Business Startups Act (the “JOBS Act”), the agency proposed...more

Financial Services Weekly News - November 2015

Regulatory Developments - Client Alert: SEC Issues New Guidance on Excluding Shareholder Proposals under Rule 14a-8: Goodwin Procter’s Capital Markets practice has released a client alert on the SEC’s Division of...more

Capital Formation Bills to be Included in Transportation Bill

Chairman Hensarling offered an amendment to a transportation and transportation bill, which includes a number of JOBS Act and other capital formation related bills that had received bipartisan support. The capital formation...more

House Passes Act to Codify Section 4(a)(1½) Exemption for Resales of Restricted Securities

On October 6, 2015, the U.S. House of Representatives unanimously approved the Reforming Access for Investments in Startup Enterprises Act of 2015 (H.R. 1839), also known as the RAISE Act of 2015. The RAISE Act has been...more

Limited Modifications in Final ACO Fraud and Abuse Waivers Most Notably Include Cut of Gainsharing CMP Waiver

Nearly four years after publishing their joint interim final rule with comment period, effective November 2, 2011 (IFC), the OIG and CMS (Agencies) have finalized the waivers of various fraud and abuse laws in the context of...more

SEC (Finally) Adopts New Equity Crowdfunding Rules, Promoting Increased Access to Capital and Democratization of Investment...

Late last week, the SEC adopted its final rules for equity crowdfunding under Title III of the JOBS Act. These rules, when implemented, have the promise of reducing the cost and increasing the availability of sorely needed...more

Chicago Mayor’s Tax-Heavy Budget Passes: Lease and Amusement Tax Implications

Last week the Chicago City Council approved Mayor Rahm Emanuel’s 2016 revenue ordinance as part of his tax-laden budget proposal. The revenue ordinance included noteworthy changes to the personal property lease transaction...more

Exciting Capital Raising Option For Small Rhode Island Startups: SEC Approves Federal Crowdfunding Rules

On October 30, 2015, the Securities and Exchange Commission (“SEC”) approved the long awaited and much anticipated final rules permitting federal crowdfunding pursuant to Title III of the Jumpstart Our Businesses Startups Act...more

SEC moves to allow startup investing via crowdfunding

On Friday, October 30, 2015, the Securities and Exchange Commission (SEC) adopted final rules permitting crowdfunding. Crowdfunding is a capital fundraising strategy whereby issuers use the internet or social media to raise...more

SEC Finally Adopts Federal Crowdfunding Rules: All That Glitters May Not Be Gold

On October 30, 2015, the Securities and Exchange Commission (“SEC”), by a 3-1 vote, adopted the long-anticipated final rules permitting federal crowdfunding (“Title III Crowdfunding”), providing a potentially attractive...more

A Dash Home for the Ages – Using Start-Up Techniques to Further Compliance

Congratulations to the Kansas City Royals for winning the World Series on Sunday night. Watching a franchise that has never won such a championship, I can certainly understand the elation of a team that had not been to a...more

Nanotechnology Startup Challenge for Cancer Will Bring Nanotechnology Inventions to Market

On October 29, 2015, the White House Office of Science and Technology Policy (OSTP) published a blog item concerning the Nanotechnology Startup Challenge for Cancer (NSC2), “an open-innovation competition designed by the...more

Brussels Regulatory Brief: September/October

On 11 September, TeliaSonera and Telenor have abandoned the proposed merger of their business units in Denmark. The contemplated transaction would have resulted in the establishment of a joint venture active in the provision...more

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