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Crowdfunding › Financial Markets

Crowdfunding is a method for raising capital whereby many individuals network and pool their funds, usually via the internet or social media. Crowdfunding methods are used in a variety of circumstances including,... more +
Crowdfunding is a method for raising capital whereby many individuals network and pool their funds, usually via the internet or social media. Crowdfunding methods are used in a variety of circumstances including, but not limited to, supporting charitable organizations, disaster relief, product development, artistic projects, and financing start-up companies. The passage of the JOBS Act of 2012 sought to broaden the use of crowdfunding in developing private capital for start-up companies by relaxing certain SEC investor registration requirements. less -
Akin Gump Strauss Hauer & Feld LLP

Inflation Adjustments to Thresholds for EGC Definition and Regulation Crowdfunding Become Effective

Akin Gump Strauss Hauer & Feld LLP on

Effective September 20, 2022, the Securities and Exchange Commission (SEC) increased the annual gross revenue threshold to qualify for emerging growth company (EGC) status from $1.07 billion to $1.235 billion. ...more

Mayer Brown Free Writings + Perspectives

Recalibrating Regulation of Private Markets?

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In various public statements of late, representatives of the Securities and Exchange Commission have noted concern regarding the growth of the private markets.  The statements have pointed to the fact that fundraising in the...more

Burr & Forman

FINRA’S 2022 Report on Examination & Risk Monitoring Program

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Over the last couple of decades, the securities self-regulatory organization FINRA (f/k/a NASD) informs its membership each year of what compliance risks are noted by its examination program. Those are risks firms should...more

Brownstein Hyatt Farber Schreck

NFTs—The Next Crowdfunding?

Brownstein Hyatt Farber Schreck on

NFTs are one of the hottest new technology trends of this year. An NFT—or Non-Fungible Token—is a digital certificate, typically encrypted and verifiable on the blockchain. Few have escaped the NFT headlines over the last few...more

Sheppard Mullin Richter & Hampton LLP

SEC Adopts Rule Amendments Aimed at Expanding Access to Capital

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On November 2, 2020, the Securities and Exchange Commission adopted amendments intended to ease the rules for certain exempt offerings. These changes include increasing the annual cap on equity crowdfunding from $1.07 million...more

Hogan Lovells

Securities and markets regulatory news, October 2020 # 3

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ISDA 2020 IBOR Fallbacks Protocol to be launched on 23 October 2020 - The International Swaps and Derivatives Association, Inc. (ISDA) has announced that the ISDA 2020 IBOR Fallbacks Protocol, which is designed to assist...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

The results are in, and Comcast has bested Fox in the quest for British satellite broadcaster Sky with a final bid of roughly $39 billion in the unusual 3-round auction overseen by the UK’s Takeover Panel. The result must be...more

Jones Day

Initial Coin Offerings—A Singapore Perspective

Jones Day on

As interest continues to grow in virtual currencies, blockchain technology and initial coin offerings, governments are evaluating the benefits and potential risks of these innovations, while considering numerous regulatory...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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Representatives of the US’s biggest stock exchanges have questioned the SEC’s plan to change how markets work by altering the current “maker-taker” system and imposing new transparency and conflict-of-interest rules on...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

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CFTC Indicates Willingness to Help Incubate Fintech - On February 21, 2017, J. Christopher Giancarlo, the acting chairman of the U.S. Commodity Futures Trading Commission ("CFTC"), has diverged from other U.S. federal...more

Stinson - Corporate & Securities Law Blog

Revised SEC Rule 504 and Minnesota Offerings

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The SEC recently revised Rule 504 of Regulation D to increase the amount of securities that can be offered in any 12-month period from $1,000,000 to $5,000,000. Among other things, Rule 504 allows companies to solicit or...more

Ballard Spahr LLP

SEC Adopts Final Rules to Facilitate Intrastate and Regional Securities Offerings

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The Securities and Exchange Commission (SEC) has adopted final rules modernizing and expanding the ways in which smaller companies can raise capital. Rule 147 of the Securities Act of 1933, as amended, provides a safe...more

Lowndes

NOTICE: SEC Adopts Rules to Facilitate Intrastate and Regional Securities Offerings

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On October 26, 2016, the Securities and Exchange Commission (SEC) adopted final rules that modernize how companies can raise money to fund their businesses through intrastate and regional securities offerings....more

Stinson - Corporate & Securities Law Blog

New SEC Rules for Intrastate and Regional Securities Offerings

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The SEC has adopted final rules to modernize intrastate securities offerings under Rule 147, adopted new Rule 147A to broaden the availability of the existing safe harbor for intrastate securities offerings and amended Rule...more

Dechert LLP

Investment Funds Update - Europe - Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on

AMF Doctrine – Authorisation of “Pre-Marketing” Activities - The AMF updated its Position n° 2014-04, which is a guide to the marketing regime of UCITS and AIFs in France. These changes have been implemented following...more

Robins Kaplan LLP

Your daily dose of financial news The Brief – 5.23.16

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We’ve got numbers for Bayer’s unsolicited bid to buy Monsanto—a cash offer of $62 billion, representing a 37% premium on Monsanto’s May 9 closing price...more

Robins Kaplan LLP

Your daily dose of financial news The Brief – 4.4.16

Robins Kaplan LLP on

It appears that Alaska Airlines has won in the pursuit of Virgin America’s operations, beating out rival JetBlue for the former Richard Branson venture. Alaska announced this morning that “had agreed to acquire Virgin America...more

Orrick - Finance 20/20

SEC Adopts Rules to Permit Crowdfunding: Proposes Amendments to Existing Rules to Facilitate Intrastate and Regional Securities...

Orrick - Finance 20/20 on

On October 30, the Securities and Exchange Commission adopted final rules under Title III of the JOBS Act (“Regulation Crowdfunding”) to permit a company to offer and sell securities through crowdfunding transactions that...more

Stinson - Corporate & Securities Law Blog

SEC Proposes to Increase Rule 504 Offering Limits to Create Another Crowdfunding Exemption

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The SEC has issued a rule proposal that would increase the aggregate amount of securities that may be offered and sold in any twelve-month period pursuant to Rule 504 from $1 million to $5 million and to disqualify certain...more

Stinson - Corporate & Securities Law Blog

SEC Proposes to Ease Intrastate Offering Exemption to Facilitate Crowdfunding

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The SEC has proposed amendments to Rule 147 under the Securities Act of 1933, which currently provides a safe harbor for compliance with the Section 3(a)(11) exemption from registration for intrastate securities offerings....more

Stinson - Corporate & Securities Law Blog

Crowdfunding: FINRA Proposes JOBS Act Portal Rules

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Title III of the Jumpstart Our Business Startups Act, or JOBS Act, enacted in 2012 with the goal of increasing American job creation and economic growth, contains key provisions relating to securities offered or sold through...more

Katten Muchin Rosenman LLP

Meeting of the SEC Advisory Committee on Small and Emerging Companies

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The Securities and Exchange Commission’s Advisory Committee on Small and Emerging Companies (Committee) met on June 3 to discuss various topics including (1) SEC rules with respect to intrastate crowdfunding; (2) the...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest - Volume X, Issue 23

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In This Issue: - Meeting of the SEC Advisory Committee on Small and Emerging Companies - FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring...more

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