JOBS Act, Exemptions, Securities and Exchange Commission (SEC)

SEC Proposal Paves the Way for Contemporaneous 506(b)/506(c) Fund Raising Strategies

Stinson LLP on 5/18/2020

The Securities and Exchange Commission (SEC) announced the proposal of certain amendments that would “simplify, harmonize and improve certain aspects of the exempt offering framework.”...more

Issues Regarding SEC Proposal to Expand Private Offering Exemptions

Sheppard Mullin Richter & Hampton LLP on 3/29/2020

The Jumpstart Our Business Startups Act of 2012 (the “JOBS Act”), was promoted as a new piece of legislation creating groundbreaking additional pathways to funding for companies, which was especially highlighted by the 2008...more

On track with the SEC - staff proposes rules on streamlining private exemptions

Eversheds Sutherland (US) LLP on 3/24/2020

On March 4, 2020, the Securities and Exchange Commission (the SEC) issued a proposed rule (the “Proposed Rule”) on ways to “simplify, harmonize, and improve certain aspects of the exempt offering framework to promote capital...more

CFTC Codifies Registration and Reporting Relief for Commodity Pool Operators and Commodity Trading Advisors

Cadwalader, Wickersham & Taft LLP on 1/17/2020

The Commodity Futures Trading Commission (the “CFTC”) approved the publication of two releases (the “Final Rules”) on November 25, 2019, adopting final amendments to Part 4 of the CFTC Rules which codify and expand a number...more

CFTC Finalizes Regulation Amendments: Certain Registered and Exempt CPOs and CTAs Need to Take Action

Dechert LLP on 1/9/2020

The Commodity Futures Trading Commission published in the Federal Register on December 10, 2019 several amendments to the regulatory framework applicable to certain commodity pool operators (CPOs) and commodity trading...more

SEC Proposes New Accredited Investor Rule

Whitman Legal Solutions, LLC on 1/2/2020

Access to invest in private placement securities reminds me of All-State Orchestra. Private placements provide unique investment opportunities that can help investors diversify their portfolios. Yet, most private placements...more

SEC Adopts Rule Allowing All Issuers to "Test the Waters"

Dechert LLP on 10/9/2019

The Securities and Exchange Commission (SEC) on September 26, 2019 voted to adopt a new rule that extends the "test-the-waters" accommodation under the Securities Act of 1933 (Securities Act) to all issuers.1 The new Rule...more

SEC proposes to expand “testing-the-waters” provisions to all issuers

Eversheds Sutherland (US) LLP on 2/25/2019

On February 19, 2019, the Securities and Exchange Commission (SEC) announced a proposal to expand the “testing-the-waters” exemption to all issuers. Currently the exemption is limited to emerging growth companies (EGCs)....more

Gig Stock: Extension of Rule 701 Exemption for Compensatory Equity Proposed for Gig Economy Participants

Farrell Fritz, P.C. on 9/26/2018

Private companies in the gig economy like Uber, Airbnb and GrubHub would love to issue compensatory equity to their platform participants, just like they’re able to do with their employees. ...more

Investment Services Regulatory Update - August 2018

Vedder Price on 8/21/2018

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS – OCIE Publishes Risk Alert on Compliance Issues Relating to Best Execution – On July 11, 2018, the Office of Compliance Inspections and...more

Financial CHOICE Act Aims to Open Capital Markets and Reduce Regulatory Burdens

Skadden, Arps, Slate, Meagher & Flom LLP on 6/12/2017

On June 8, 2017, the House of Representatives passed, by a 233-186 party-line vote (with all Democrats and one Republican voting against), the Financial CHOICE Act of 2017, a bill principally designed to reverse many features...more

Preliminary Planning for the 2017 Proxy Season

Stinson - Corporate & Securities Law Blog on 9/1/2016

For those who want to start preparing for the 2017 proxy season, our preliminary list of important considerations is set forth below: Directors’ and Officer’s Questionnaire - Nasdaq has adopted a rule requiring...more

OTC Markets, Inc. Asks SEC To Open Regulation A+ to Reporting Issuers

Stinson - Corporate & Securities Law Blog on 6/9/2016

On June 6, 2016, the OTC Markets Group Inc., the entity operating three major over-the-counter marketplaces (“OTC”), submitted a rulemaking petition to the SEC. The petition asked the SEC to amend Regulation A+ to allow...more

"Corporate Finance Alert: SEC Finalizes Crowdfunding Rules, Proposes to Expand Intrastate Offering and Rule 504 Exemptions"

Skadden, Arps, Slate, Meagher & Flom LLP on 11/5/2015

The U.S. Securities and Exchange Commission (SEC) recently took several important steps to facilitate smaller securities offerings. First, it adopted final rules for the new Securities Act exemption for securities-based...more

The Jump-Start Our Business Start-Ups Act › Exemptions › Securities and Exchange Commission (SEC)

SEC Proposal Paves the Way for Contemporaneous 506(b)/506(c) Fund Raising Strategies

Issues Regarding SEC Proposal to Expand Private Offering Exemptions

On track with the SEC - staff proposes rules on streamlining private exemptions

CFTC Codifies Registration and Reporting Relief for Commodity Pool Operators and Commodity Trading Advisors

CFTC Finalizes Regulation Amendments: Certain Registered and Exempt CPOs and CTAs Need to Take Action

SEC Proposes New Accredited Investor Rule

SEC Adopts Rule Allowing All Issuers to "Test the Waters"

SEC proposes to expand “testing-the-waters” provisions to all issuers

Gig Stock: Extension of Rule 701 Exemption for Compensatory Equity Proposed for Gig Economy Participants

Investment Services Regulatory Update - August 2018

Financial CHOICE Act Aims to Open Capital Markets and Reduce Regulatory Burdens

Preliminary Planning for the 2017 Proxy Season

OTC Markets, Inc. Asks SEC To Open Regulation A+ to Reporting Issuers

"Corporate Finance Alert: SEC Finalizes Crowdfunding Rules, Proposes to Expand Intrastate Offering and Rule 504 Exemptions"

SEC Adopts Regulation A+

"Corporate Finance Alert: SEC Adopts Regulation A+ to Provide New Exemption for Smaller Capital-Raising Transactions"

CFTC Publishes Long-Awaited JOBS Act Relief

Integration Issues Under The JOBS Act

SEC Proposes New Rules for Crowdfunding Exemption

SEC Issues Frequently Asked Questions on Exemption from Broker-Dealer Registration Under the JOBS Act

Corporate and Financial Weekly Digest - February 8, 2013

New FAQs On Broker-Dealer Registration Exemption

JOBS Act Has Implications for Private Company D&O Liability Insurance

The Jump-Start Our Business Start-Ups Act › Exemptions › Securities and Exchange Commission (SEC)

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