Raising investment capital through private offerings has always been a challenge, especially for new and emerging investment managers. COVID-19 has exasperated this challenge by significantly limiting traditional means of...more
10/16/2020
/ Accredited Investors ,
Advertising ,
Capital Raising ,
Coronavirus/COVID-19 ,
General Solicitation ,
Investment Management ,
JOBS Act ,
Marketing ,
Private Placements ,
Regulation D ,
Rule 506(c) ,
Securities and Exchange Commission (SEC)
On October 30, 2015, the Securities and Exchange Commission (SEC) adopted final crowdfunding rules. More than two years after the publication of the proposed crowdfunding rules, the SEC approved regulations that permit...more
11/4/2015
/ Blue Sky Laws ,
Broker-Dealer ,
Capital Raising ,
Compliance ,
Crowdfunding ,
Disclosure Requirements ,
EDGAR ,
Federal Register ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Initial Public Offering (IPO) ,
Investment ,
Investors ,
JOBS Act ,
Regulation D ,
Reporting Requirements ,
Rule 506 Offerings ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC)
As much as the elimination of the ban on general solicitation of private placements through the passage of Rule 506(c) creates significant opportunities for private issuers, the U.S. Securities and Exchange Commission (SEC)...more
In this month’s challenge, Pepper Hamilton partners Christopher Rossi and Gregory Nowak explain when a firm may need to consider registering as a brokerdealer with the SEC.
Originally Published in PEI's Private Equity...more
The Jumpstart Our Business Startups Act (JOBS Act) regulations, which were announced on July 10 and which become effective on September 23, promise a new era for capital raising for operating companies and private funds...more
8/12/2013
/ Accredited Investors ,
Advertising ,
Bad Actors ,
Filing Requirements ,
General Solicitation ,
JOBS Act ,
New Regulations ,
Private Equity ,
Regulation D ,
Rule 144A ,
Rule 156 ,
Rule 506 Offerings ,
Securities and Exchange Commission (SEC)
On July 10 the Securities and Exchange Commission (SEC) adopted implementing regulations under the JOBS Act of 2012 (concerning the relaxation of the prohibitions against “general solicitations” under Regulation D under the...more