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Startups Securities & Exchange Commission

SEC Amends Crowdfunding Rules

Under the Jumpstart our Business Startups Acts of 2012 (the “JOBS Act”), the Securities and Exchange Commission (the “SEC”) adopted rules allowing for securities-based crowdfunding in 2015. The JOBS Act required the SEC to...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - SEC Publishes Compliance and Disclosure Guidance for Regulation Crowdfunding - On April 5, 2017, the Division of Corporation Finance of the Securities and Exchange Commission...more

EGC Corporate Governance Practices: A survey and related resources - February 2017

During 2016, there were relatively few companies that completed initial public offerings (“IPOs”). Some commentators attribute the dearth of IPOs in 2016 to volatility arising from, among other things, Brexit and the U.S....more

The State of Venture Capital in 2017

by McCarter & English, LLP on

After three years of strong growth, venture capital financing activity slowed noticeably in 2016. According to data published by Pitchbook and the National Venture Capital Association, companies raised $69.1 Billion in 2016...more

Touched by an Angel – The HALOS Act

On January 10, 2017, the House of Representatives passed “Helping Angels Lead Our Startups Act” (the “HALOS Act”), which is intended to ease formal restrictions on general solicitation. The HALOS Act still needs to be...more

House of Representatives Passes the HALOS Act (Again), But Is It Really Necessary?

On January 10, 2017, the House of Representatives passed H.R. 79, the “Helping Angels Lead Our Startups Act” (the “HALOS Act”). The HALOS Act was originally passed by the House of Representatives as H.R. 4498 on April 27,...more

Legislation Creating Small Business Advocacy within the SEC Heading to the President’s Desk

On December 10, the SEC Small Business Advocate Act was approved by the Senate, clearing the way for signature by the President. The measure, which creates an advocacy office for the interests of small businesses within the...more

Minnesota’s First Crowdfunding Portal Approved, But The Question Remains: Will Anyone Actually Use It?

On November 9, 2016, the Minnesota Department of Commerce approved the first crowdfunding portal operator, VentureNear.com, under the crowdfunding legislation known as MNvest. As soon as the portal is populated with...more

A Window into Trump’s SEC?

Insights into an SEC composed of Trump appointees can be gleaned from Financial Services Committee Chairman Jeb Hensarling’s (R-TX) opening statements at a committee hearing on SEC oversight, with testimony by outgoing SEC...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

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

by Robins Kaplan LLP on

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

by Robins Kaplan LLP on

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

by Robins Kaplan LLP on

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

by Robins Kaplan LLP on

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

by Perkins Coie on

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

by Tucker Arensberg, P.C. on

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

by Michael Volkov on

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

by WilmerHale on

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

by McDermott Will & Emery on

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

by WilmerHale on

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

by Foley & Lardner LLP on

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

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