News & Analysis as of September 19, 2024

The Jump-Start Our Business Start-Ups Act › Rulemaking Process

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The Jump-Start Our Business Start-Ups Act is a United States federal law enacted in 2012 to increase start-up companies' access to capital by easing certain restrictions on seeking and soliciting private... more +

SEC Proposes Amendments to MD&A

Mayer Brown Free Writings + Perspectives on 1/31/2020

The Securities and Exchange Commission yesterday voted to propose amendments to the Regulation S-K requirements for Management’s Discussion and Analysis, or MD&A, and also issued agency guidance relating to MD&A. ...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

Regulation S-K Business and Risk Factor Changes?

Mayer Brown Free Writings + Perspectives on 8/5/2019

The Securities and Exchange Commission announced an open meeting for August 8th to consider whether to propose rule amendments to modernize the description of business, legal proceedings, and risk factor disclosures required...more

SEC proposes to Expand Test-the-Waters Communications to all Issuers

Stinson LLP on 2/25/2019

The SEC has proposed new rules that would permit all issuers to solicit investor views about potential offerings at an earlier stage in the offering process than is the case today. ...more

Testing the Waters for All? Proposed New Rule Would Expand Accommodation to All Issuers

Mayer Brown Free Writings + Perspectives on 2/22/2019

Since the Jumpstart Our Business Startups (JOBS) Act was enacted in 2012, emerging growth companies (EGCs) have benefited from the opportunity to test the waters with investors and gauge interest in a potential offering....more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 4/1/2015

Non-Enforcement Matters - SEC 2015 Rulemaking Geared to Asset Managers - Certain Personnel of Registered Municipal Advisers Will Be Subject to Qualification Exams - Rulemaking Completed for Reg A+, But Will It Matter? -...more

Federal Crowdfunding Efforts Stall While Tennessee Prepares for Takeoff

Baker Donelson on 1/5/2015

On January 1, 2015, pursuant to the Invest Tennessee Exemption (ITE), crowdfunding in Tennessee became legal, granting Tennessee-based companies and investors increased access to capital and broadened opportunities to invest....more

SEC Proposes Amendments to Implement JOBS Act Mandate for Exchange Act Registration Requirements

Orrick - Finance 20/20 on 12/23/2014

As mandated by the Jumpstart Our Business Startups Act (JOBS Act), on December 17 the Securities and Exchange Commission approved the issuance of proposed amendments to revise the rules related to the thresholds for...more

First Issuer Completes NASAA Coordinated Review Program

Stinson - Corporate & Securities Law Blog on 12/8/2014

There has been somewhat of a controversy surrounding the SEC’s rulemaking in connection with Regulation A+ under the JOBS Act. Should larger Tier 2 offerings preempt state blue sky regulation (my preference) or be subject to...more

Corporate and Financial Weekly Digest - Volume IX, Issue 47

Katten Muchin Rosenman LLP on 12/8/2014

In this issue: - SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking - FINRA Issues Notice on TRACE Trade Reporting Obligations - NFA Issues Guidance on Exempt and Excluded...more

Non-Enforcement

Foley & Lardner LLP on 12/1/2014

When the U.S. Congress passed the crowdfunding exemption under the Jumpstart Our Business Startups Act (the “Jobs Act”) in 2012, there was much anticipation and optimism for the ability of issuers of securities to be able to...more

Blog: Republicans To SEC Chair: Delay Pay Ratio Rules. Is A Repeal Attempt In The Offing?

Cooley LLP on 11/26/2014

The WSJ reports that three Republican congressman — House Financial Services Committee Chairman Jeb Hensarling, and Reps. Scott Garrett and Bill Huizenga — have written to SEC Chair Mary Jo White urging that the SEC stop...more

Is the SEC Doing Enough to Promote Capital Formation?

Blank Rome LLP on 9/25/2014

If you believe Commissioner Daniel M. Gallagher, the answer is an emphatic “no”, at least with respect to small businesses. On September 17, 2014, at a Heritage Foundation event, Commission Gallagher gave a speech criticizing...more

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The Jump-Start Our Business Start-Ups Act › Rulemaking Process

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