News & Analysis as of

Brokers Capital Raising

Bailey & Glasser, LLP

[Webinar] Raising Capital & Staying Compliant: It’s Not Easy Being Green - December 9th, 1:30 pm - 2:00 pm ET

Bailey & Glasser, LLP on

Thanks to everyone who joined Part One of Bailey Glasser’s two-part raising capital webinar series with lawyers Michael de León Hawthorne and Carlos Duque. Part One of the webinar featured raising capital questions and...more

WilmerHale

SEC Proposes Exemptive Relief From Broker Registration for Finders for Small Companies

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On October 7, 2020, the Securities and Exchange Commission (SEC) proposed to address long-standing questions regarding the applicability of the broker registration requirements to finders for small and emerging businesses....more

McCarter & English, LLP

SEC (Finally) Adopts New Equity Crowdfunding Rules, Promoting Increased Access to Capital and Democratization of Investment...

Late last week, the SEC adopted its final rules for equity crowdfunding under Title III of the JOBS Act. These rules, when implemented, have the promise of reducing the cost and increasing the availability of sorely needed...more

Seyfarth Shaw LLP

SEC Advisory Committee Recommends Additional Clarity Regarding So-Called “Finders”

Seyfarth Shaw LLP on

The Securities and Exchange Commission ("SEC") Advisory Committee on Small and Emerging Companies ("Advisory Committee") announced new recommendations to make it easier for small and emerging companies to raise capital using...more

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