News & Analysis as of

Advertising General Solicitation Compliance

Dechert LLP

New ACE Portal/NYSE Platform Could Facilitate Private Equity Fund Raising

Dechert LLP on

An enduring challenge of private equity is fund raising, whether in connection with fund formations, portfolio company financings or limited partner secondary sales. The recent modification of the SECs rules on general...more

Katten Muchin Rosenman LLP

SEC Division of Corporation Finance Issues 11 New C&DIs

On November 13, the Securities and Exchange Commission’s Division of Corporation Finance issued two new Compliance and Disclosure Interpretations (C&DIs) on Rule 144A under the Securities Act of 1933 (Securities Act) and nine...more

Sheppard Mullin Richter & Hampton LLP

Setting The Record Straight On The New General Solicitation Rules

On September 23, 2013, the final rules eliminating the prohibition on general solicitation and advertising for certain offerings under Rule 506 went into effect. While this development was anticipated with much excitement by...more

McCarter & English, LLP

New Rule 506(d) "Bad Actor" Disqualification - A Continuous Diligence Headache for Emerging Companies

As required by the Dodd-Frank Act, the SEC on July 10, 2013, adopted final Rule 506(d) to "disqualify felons and other bad actors" from Regulation D private offerings. New Rule 506(d) identifies persons and triggering events...more

Morrison & Foerster LLP - JOBS Act

Advertising Restrictions Apply to Commodity Pools

In prior posts, we have noted that the relaxation of the ban on general solicitation in no way relieves certain registered entities of their obligations to comply with regulations related to advertising or promotional...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - July 12, 2013

In this issue: - SEC Adopts and Proposes New Rules, Including Easing the Prohibition on General Solicitation - District Court Vacates SEC’s Resource Extraction Issuer Rule - SEC Announces Three New...more

Bilzin Sumberg

SEC Adopts Rules Lifting Ban On General Solicitation In Private Placement Offerings

Bilzin Sumberg on

The following information concerning new rule amendments just approved yesterday by the Securities and Exchange Commission (SEC) allows companies to engage in general solicitation of investors in private placement offerings....more

Ballard Spahr LLP

SEC Acts To Eliminate Prohibition on General Solicitation and Expand 'Bad Actor' Disqualifications

Ballard Spahr LLP on

The Securities and Exchange Commission (SEC) took long-awaited action on July 10, 2013, to finalize and adopt new rules that eliminate the current prohibition against general solicitation and advertising in certain Rule 506...more

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