News & Analysis as of

General Solicitation Initial Public Offering

General Solicitation typically refers to the soliciting of investors to purchase securities. Prior to the passage of the JOBS Act in 2012, general solicitation was banned in connection with privately offered... more +
General Solicitation typically refers to the soliciting of investors to purchase securities. Prior to the passage of the JOBS Act in 2012, general solicitation was banned in connection with privately offered unregistered securities. Issuers were only permitted to offer such securities to investors with whom they had a pre-existing substantive relationship. Section 201(a) of the JOBS Act lifted the ban on general solicitation, but only with respect to accredited investors.  less -

FINRA Publishes FAQs Regarding Research Conflicts of Interest in the Offering Process

by Shearman & Sterling LLP on

In late May, FINRA published a set of Frequently Asked Questions regarding its equity research rule, which address interactions between issuers, research analysts, and investment bankers in various stages of the offering...more

Integration of Private and Public Offerings 2015

by Locke Lord LLP on

I. INTRODUCTION - A. Outline Coverage - This outline reviews the SEC’s interpretations that relate to the integration of private and public offerings and the challenges they impose for the capital formation...more

FINRA Publishes Guidance on Research Conflict of Interest Rules

by Morgan Lewis on

FINRA explains the risk levels associated with communications regarding potential investment banking transactions: from low to high to “unmanageable.” On May 27, the Financial Industry Regulatory Authority (FINRA)...more

FINRA Research Rule Guidance: The New Stages of Grief

Many market participants were left in a quandary following FINRA enforcement actions in connection with member firm research analyst “participation” in meetings with prospective issuers. Recently, FINRA published a handful...more

In Case You Missed It - Interesting Items for Corporate Counsel

by Stoel Rives LLP on

The Director of the SEC’s Division of Corporation Finance, Keith Higgins, recently gave the keynote address, here, at the 2014 Angel Capital Association Summit. He focused on the following three items on the SEC rulemaking...more

JOBS 2.0 Hearing Rescheduled

On October 24, 2013, the House Subcommittee on Capital Markets and GSEs will hold a hearing on “Legislative Proposals to Reduce Barriers to Capital Formation.” The hearing was originally scheduled for earlier in the month,...more

In Case You Missed It - Interesting Items for Corporate Counsel (Update) - September 11, 2013

by Stoel Rives LLP on

As we run up the September 23 effective date of rules eliminating the prohibition on general solicitations under Regulation D and wait for final SEC "process" rules, a few additional resources are below(summary of comments on...more

Private Funds In Focus - Summer 2013

by Proskauer Rose LLP on

The Jumpstart Our Business Startups (JOBS) Act became law just over one year ago. The JOBS Act seeks to encourage capital formation and reduce burdensome regulations on smaller issuers of securities. Since its enactment on...more

Jumpstart Our Business Startups Act (JOBS Act)

by TroyGould PC on

On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (JOBS Act). The JOBS Act’s stated purpose is to increase job creation and economic growth by improving access to public capital markets...more

JOBS Act Means New Funding Opportunities for Start-Ups and Other Small Businesses

by Foley & Lardner LLP on

On April 5, 2012, President Obama signed the Jumpstart Our Business Startups (JOBS) Act into law. The JOBS Act seeks to reduce securities law burdens on start-ups and small businesses to make capital more accessible. In a...more

The March Toward Reform For Emerging Growth Cos.

Originally Published in Law360, March 21, 2012. Building on months of momentum in Congress, on March 8, 2012, the U.S. House of Representatives passed the Jumpstart Our Business Startups (JOBS) Act by a bipartisan vote...more

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