Startups Securities & Exchange Commission

News & Analysis as of

It’s Hunting Season. For Unicorns? Lawsuit Against Theranos Signals Trend In Investors Going After Late-Stage Start-ups

Last week brought more bad news for private blood testing company Theranos Inc., as San Francisco-based Partner Fund Management L.P. (“PFM”) launched a suit claiming that it was duped into making a $96.1 million investment in...more

Your Daily Dose of Financial News

For a start-up looking to unseat Bloomberg as the go-to insider source for financial news [other than this blog, of course], there’s a surefire way to gain some instant credibility: hire one of Bloomberg’s former top execs,...more

Your daily dose of financial news - The Brief – 7.26.16

Private equity bigwig Lynn Tilton has reportedly hired appellate superstar Paul Clement (after Gibson Dunn got the boot) to represent her in her “bid to revive her challenge to the [SEC’s] in-house court at the Second...more

SEC Proposes to Amend Smaller Reporting Company Definition

In the years following the JOBS Act, which created the term “emerging growth company” and made available certain disclosure and other accommodations to companies that qualified as EGCs, there has been renewed focus on scaled...more

Your daily dose of financial news - The Brief – 6.23.16

It was House day for Chair Yellen on the Hill, and if you guessed that in this election year her final appearance before this Congress was more about her questioners scoring political points than it was anything related to...more

Your daily dose of financial news - The Brief – 6.20.16

Here’s a sign of the times, or at least, the changing tenor of banking in America. After years of exclusivity that saw it refusing customers with less than $10 million on hand, Goldman Sachs is opening itself up to common...more

Silicon Valley in the Crosshairs: SEC and DOJ Target Fraud Involving Pre-IPO Companies

Historically, regulators have been reluctant to interfere with the complex world of pre-IPO financing and private market transactions, which tend to involve the most sophisticated investors. However, several recent public...more

Regulation Crowdfunding: What You Need to Know

Regulation Crowdfunding, new rules promulgated by the SEC to assist small issuers in raising capital, became effective May 16, 2016. To assist issuers in their crowdfunding efforts, the SEC has issued the "Regulation...more

The SEC Promulgates Long Awaited Rules on Investor Regulation Crowdfunding

Most of us are generally familiar with the concept of crowdfunding – the practice of a group of unrelated people financing a product with modest amounts of money online. Many recent crowdfunding efforts have involved...more

The SEC’s Return to Accounting Fraud Enforcement

Just like the ups and downs of the business cycle, SEC enforcement of accounting fraud cases follow an up and down trend as well. For example, during the financial crisis, SEC enforcement of accounting fraud cases took a back...more

Private Placement Memoranda – Do I Need One?

All start-ups know the importance of capital in growing a business and frequently, that capital is generated through private offerings of securities. A strong private placement memorandum, or “PPM,” is one tool a start-up may...more

In Case You Missed It: Launch Links - May 2016 #3

Some interesting links we found across the web this week: - Don’t Expect New Crowdfunding Rules to Create a Startup Boom - Equity crowdfunding went live this week under the SEC’s recent rulemaking, but many...more

Regulation Crowdfunding Takes Effect

In Depth - On May 16, 2016, the final rules adopted by the Securities and Exchange Commission (SEC) with respect to Title III of the Jumpstart Our Business Startups Act (JOBS Act) took effect (except for certain forms...more

In Case You Missed It: Launch Links - May 2016 #2

Some interesting links we found across the web this week: - Pentagon Turns to Silicon Valley for Edge in Artificial Intelligence - Tech companies and law enforcement do not always get along, but the military is...more

The Equity Crowdfunding Rules: What You Need to Know

The SEC’s equity crowdfunding rules finally go into effect this month almost four years after Congress passed the JOBS Act, requiring the relaxing of certain rules on raising funds. So what does equity crowdfunding actually...more

House of Representatives Passes the HALOS Act; Fair Access to Investment Research Act of 2016 is Introduced

On April 27, 2016, the House of Representatives passed the Helping Angels Lead Our Startups Act (H.R. 4498) (the “HALOS Act”), which was first introduced on April 16, 2015. The HALOS Act directs the SEC to amend Regulation D...more

HALOS Act Passes Vote in U.S. House of Representatives

After a floor debate during which lawmakers on both sides of the aisle traded dueling press releases, the U.S. House of Representatives voted 325-89 in favor of the Helping Angels Lead Our Startups (HALOS) Act, on April 27,...more

In Case You Missed It: Launch Links - April 2016 #3

Some interesting links we found across the web this week: - Postscript: Bill Campbell, 1940-2016 - He may not be the most globally famous person who passed away this week, but Bill Campbell’s quiet influence on...more

Private Placements: A Primer

A private equity offering or “private placement” of securities is the process of offering and selling securities to prospective investors without first registering the securities with the U.S. Securities and Exchange...more

[Event] Regulation Crowdfunding: 10 Rules to Live By Post-JOBS Act - May 5th, Raleigh, NC

Join us for a complimentary program that will cover the basics of the newly-effective Regulation Crowdfunding process. The rules surrounding Regulation Crowdfunding are complicated and pursuing investors through crowdfunding...more

Federal Crowdfunding: What Comes Next?

In our original article on this subject, “SEC Finally Adopts Federal Crowdfunding Rules: All That Glitters May Not Be Gold,” we discussed some of the highlights of the final federal crowdfunding rule (the “Regulation”)...more

Your daily dose of financial news The Brief – 4.19.16

Oh, Theranos. 2016’s not really your year, is it? Word emerged yesterday that the DOJ and SEC are joining health officials in taking a closer look at the blood-testing company, though details of their investigation are...more

Federal Crowdfunding: Practical Considerations For Interested Parties

This is the second of a series of articles on the final federal crowdfunding rule (the “Regulation”) recently adopted by the Securities Exchange Commission (“SEC”). As explained more fully in our original article, federal...more

Shopping for Startups – SEC Offers Additional Guidance for Intermediary Crowdfunding Portals

I previously wrote about the new rules of the Securities and Exchange Commission (“SEC”) allowing startups to utilize crowdfunding platforms to sell an equity stake in their business to investors in exchange for working...more

SEC Chair Warns Silicon Valley That Unicorns Need To Be Watched and Monitored

Speaking last week at the SEC’s and Rock Center’s Silicon Valley Initiative at Stanford Law School, SEC Chair Mary Jo White cautioned Silicon Valley’s start-up companies regarding their potential lack of internal controls. ...more

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