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Mayer Brown

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On point. – General Solicitation and General Advertising

Overview Rule 502(c) (“Rule 502(c)”) of the Securities Act of 1933, as amended (the “Securities Act”), prohibits an issuer from offering or selling securities by any form of general solicitation or general advertising when...more

6/7/2021 / Advertising , Investment , Offerings , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Transactions , Solicitation

Bad Actor Disqualification Provisions of Regulation A, Regulation CF and Regulation D

Overview - Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) requires the Securities and Exchange Commission (“SEC”) to adopt rules that would make the exemption from registration...more

6/3/2021 / Bad Actors , Disqualified Persons , Dodd-Frank , Offerings , Registration Requirement , Regulation A , Regulation CF , Regulation D , Securities and Exchange Commission (SEC) , Securities Regulation

What’s the Deal? – Registered Direct Offerings

Registered direct offerings, or RDOs, are hybrid securities offerings, meaning that these offerings have some characteristics typically associated with private placements and some characteristics of public offerings. During...more

4/28/2020 / Offerings , Private Investment in Public Equity (PIPEs) , Publicly-Traded Companies , Registration Statement , Securities Regulation , Securities Transactions

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