News & Analysis as of

Regulation A

Flaster Greenberg PC

Non-U.S. Investors and Companies in U.S. Crowdfunding

by Flaster Greenberg PC on

When I was a kid, back in the 1840s, we referred to people who live outside the United States as “foreigners.” Using the more globalist and clinical term “non-U.S. persons,” I’m going to summarize how people and companies...more

McDermott Will & Emery

SEC Adopts Amendments that Simplify and Update Disclosure Requirements

by McDermott Will & Emery on

Last month, the SEC adopted amendments intended to facilitate the disclosure of information to investors, simplify compliance without significantly altering the total mix of information provided to investors, improve...more

Mayer Brown Free Writings + Perspectives

Insights Regarding Areas of Focus for Division of Corporation Finance

Speaking at a session at the American Bar Association’s annual meeting, a representative of the Securities and Exchange Commission’s Division of Corporation Finance (Michael Seaman) provided guidance for attendees regarding...more

Stoel Rives LLP

In Case You Missed It - Interesting Items for Corporate Counsel - June 2018

by Stoel Rives LLP on

Trump signed the Economic Growth, Regulatory Relief, and Consumer Protection Act, the acronym for which doesn’t spell anything pithy, late last month. The EGRRCPA (ugh!), here, pulls back regulations implemented by the...more

Wilson Sonsini Goodrich & Rosati

Regulation A+ Offerings for Tokens:What is the SEC Waiting For?

In a recent article, we discussed why the Securities and Exchange Commission (“SEC”) and its staff (the “Staff”) continue to think most cryptocurrencies and other crypto assets (“tokens”) are securities at the time they are...more

Cohen & Gresser LLP

INSIGHT: Regulation A: A Pathway for the ICO?

by Cohen & Gresser LLP on

How should an initial coin offering, or ICO, be conducted? Despite a burgeoning ICO market, there is little consensus. ICOs are offerings of digital assets, or tokens, generally associated with a platform or project to be...more

Mayer Brown Free Writings + Perspectives

Is Reg A a Success?

Neal Newman assesses the success of Regulation A in a paper titled, “Regulation A+: New and Improved after the JOBS Act or a Failed Revival?” The author reviews the 267 Regulation A filings made between August 13, 2012 and...more

WilmerHale

2018 IPO Report

by WilmerHale on

The IPO market produced 142 IPOs in 2017, a total that was 45% higher than the 98 IPOs in 2016 and just shy of the 152 IPOs in 2015, but still lower than the annual average of 155 IPOs over the five-year period from 2011 to...more

McDermott Will & Emery

Capital Markets & Public Companies Quarterly: Expanding Relief under Smaller Reporting Company, Reg A+ and Rule 701, SEC...

by McDermott Will & Emery on

During the previous quarter, the SEC acted to expand the number of companies that may rely on the “smaller reporting company” scaled disclosure regime and Congress directed revisions to the Regulation A+ and Rule 701...more

Mayer Brown Free Writings + Perspectives

Social Media Compliance Guide For Issuers, Broker-Dealers, And Advisers

[author: Trevor Starer] The use of social media raises many securities law and compliance challenges for issuers, broker-dealers, and investment advisers. This Compliance Guide summarizes briefly some key...more

Mayer Brown Free Writings + Perspectives

Chair Clayton’s Congressional Testimony

In his most recent testimony in Congress, the Securities and Exchange Commission Chair once again focused on retail investors. Chair Clayton cited a number of statistics regarding the level of retail participation in the...more

Robins Kaplan LLP

Your Daily Dose of Financial News

by Robins Kaplan LLP on

A couple of big-time SCOTUS opinions released yesterday will leave their mark on the financial world— First, the High Court found that internet retailers can be “required to collect sales taxes in states where they have no...more

K&L Gates LLP

Congress Acts to Expand Capital Formation Rules While Rolling Back Dodd-Frank Regulation

by K&L Gates LLP on

Since the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) was enacted in 2010, many Republicans have advocated for its repeal. However, in one of the first bipartisan banking laws to be adopted in...more

Dorsey & Whitney LLP

New Law Allows for Regulation A+ Offerings by Reporting Companies

by Dorsey & Whitney LLP on

On May 24, the Economic Growth, Regulatory Relief, and Consumer Protection Act (the “Act”) was signed into law. One of the purposes of the Act is to encourage capital formation by directing the Securities and Exchange...more

Farrell Fritz, P.C.

SEC Reporting Companies Soon to be Regulation A+ Eligible

by Farrell Fritz, P.C. on

Buried in new legislation mainly intended to ease Dodd-Frank restrictions on small banks is an expansion of Regulation A eligibility to include SEC reporting companies. ...more

Kelley Drye & Warren LLP

Dodd-Frank Reform Includes Notable Changes to Rule 701 of the Securities Act and Regulation A+

by Kelley Drye & Warren LLP on

Introduction - On May 24, 2018, President Trump signed into law the Economic Growth, Regulatory Relief, and Consumer Protection Act (the “Relief Act”). The Relief Act significantly reforms the Dodd-Frank Wall Street Reform...more

Mitchell Silberberg & Knupp LLP

New Federal Act Amending Dodd-Frank Also Seeks to Help Startups

In late May, President Trump signed the Economic Growth, Regulatory Relief and Consumer Protection Act. Although the president and many Republican members of Congress had threatened to repeal and replace Dodd-Frank, the new...more

Taylor English Duma LLP

Reporting Companies May Now Use Regulation A+

by Taylor English Duma LLP on

An almost overlooked provision in the recent amendments to the Dodd–Frank legislation extends the benefits of the highly popular Regulation A+ offering regime to public companies for the first time. The Reg. A+ rules now...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Topics on SEC, CFTC, Banking, and EU Developments

SEC/CORPORATE - Dodd-Frank Legislation Directs SEC to Amend Rule 701 and Regulation A+ - On May 24, President Trump signed into law the Economic Growth, Regulatory Relief and Consumer Protection Act. While the Act...more

Cooley LLP

Blog: New Act takes a few small steps to encourage capital formation

by Cooley LLP on

While the Economic Growth, Regulatory Relief, and Consumer Protection Act, which was just signed into law, is focused primarily on providing regulatory relief to banks under Dodd-Frank, there are a few provisions of more...more

Wilson Sonsini Goodrich & Rosati

Dodd-Frank Rollback Law Includes Increased Flexibility for Growth Companies and Venture Funds

On May 24, 2018, President Trump signed into law a broad rollback of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. In addition to a number of changes applicable specifically to financial institutions,...more

Stinson Leonard Street - Dodd-Frank and the...

Dodd-Frank Rollback Requires Changes to Regulation A+ and Rule 701

The Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155), which is primarily aimed at easing regulations on community banks, also contains provisions designed to facilitate capital formation. President...more

Shearman & Sterling LLP

US Federal Reserve Board Approves Amendments to Regulation A

by Shearman & Sterling LLP on

The U.S. Board of Governors of the Federal Reserve System approved final amendments to Regulation A (Extensions of Credit by Federal Reserve Banks). The amendments make technical changes to provisions regarding establishing...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

Division of Investment Management of the SEC Issues No-Action Letter to SSB - On May 8, 2018, the Chief Counsel's Office of the Division of Investment Management ("IM") of the Securities and Exchange Commission (the...more

Orrick - Structured Finance Group

FRB Announces Approval of Final Amendments to its Regulation A

On May 7, 2018, the Federal Reserve Board (“FRB“) published its approval “approval of final amendments to its Regulation A, which governs extensions of credit by Federal Reserve Banks, to make certain technical adjustments...more

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