News & Analysis as of

Regulation CF

Oberheiden P.C.

Regulation CF: An Ultimate Guide to the SEC’s Crowdfunding Regulation

Oberheiden P.C. on

Early crowdfunding often broke securities laws due to unregistered offerings. In 2015, the SEC's Regulation Crowdfunding (Regulation CF) addressed this, stemming from the JOBS Act. It provides an exemption for certain...more

Mayer Brown Free Writings + Perspectives

Acting Chair Uyeda on SEC’s Priorities

Members of the US Securities and Exchange Commission (the “Commission”) continue to share their views about the Commission’s current priorities, and Monday was Acting Chairman Mark Uyeda’s turn.  Speaking at the Florida Bar’s...more

Mayer Brown Free Writings + Perspectives

Crowdfunding Report Shows Increasing Reliance on Regulation CF Deals & Disparities in Participation by Women & Minorities

Introduced under Title III of the JOBS Act, Regulation Crowdfunding (“Regulation CF”) was promulgated to allow startups and emerging companies to raise capital from a wider pool of investors through equity crowdfunding...more

Fenwick & West LLP

Tokenized Real-World Assets: Pathways to SEC Registration

Fenwick & West LLP on

Demand for tokenized real-world assets (RWAs) is rapidly growing across the decentralized finance (DeFi) community, with growing interest among existing crypto-native participants and across the traditional finance industry...more

Mayer Brown Free Writings + Perspectives

Upcoming SEC Small Business Advisory Committee

The Securities and Exchange Commission announced an upcoming meeting of its Small Business Capital Formation Advisory Committee on May 6, 2024.  The meeting will include a discussion of Regulation Crowdfunding (Reg CF) and...more

Goodwin

Blind Pool REIT IPOs: Real Estate Sponsors Are Getting Ready To Jump Back In

Goodwin on

Coming out of the Great Recession, there was a rush by real estate sponsors to raise “blind pool” capital to take advantage of displacement and distress in the real estate market. From 2009 through 2010, 30 new public real...more

Goodwin

Four Lessons from Two FINRA Enforcement Actions against Crowdfunding Portals

Goodwin on

On May 4, 2022, FINRA announced that it had fined two FINRA-registered funding portals a combined $1.75 million for failing to comply with securities laws and rules designed to protect crowdfunding investors. Funding portals...more

Mayer Brown Free Writings + Perspectives

Bad Actor Disqualification Provisions of Regulation A, Regulation CF and Regulation D

Overview - Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) requires the Securities and Exchange Commission (“SEC”) to adopt rules that would make the exemption from registration...more

Farrell Fritz, P.C.

Securities Safety Check for New TV Series “Unicorn Hunters”

Farrell Fritz, P.C. on

A new reality streaming television series called Unicorn Hunters debuted last week in which startups will pitch to a panel that includes Apple co-founder Steve Wozniak, and the panelists after some grilling of the...more

Farrell Fritz, P.C.

Why Private Capital and Crowdfunding Markets Should be Nervous about President Biden’s Regulatory Freeze

Farrell Fritz, P.C. on

A freeze on government regulation is generally perceived by most people as being a positive development for private enterprise.  Not necessarily so, however, when the regulation being frozen is itself a reform of preexisting...more

Sullivan & Worcester

SEC Changes Rules to Improve Deal Flow for Private Companies and Investors

Sullivan & Worcester on

In a 3-2 vote held in November 2020, the SEC approved new rules and amendments to existing rules that are intended to harmonize, simplify and improve the private placement regime that start-ups and other issuers, small and...more

Polsinelli

SEC Adopts Rules to Enhance and Improve “Patchwork” Exempt Offering Framework

Polsinelli on

On November 2, 2020, the Securities and Exchange Commission (“SEC”) adopted final rules under the Securities Act of 1933 (the “Securities Act”) expanding a number of private placement exemptions. The amendments were adopted...more

Mintz - Energy & Sustainability Viewpoints

Crowdfunding Expanded; SEC Announces Increase in Amounts Permitted To Be Raised by Crowdfunding

On November 2, 2020, the Securities and Exchange Commission (the “SEC”) voted to amend its capital raising rules for Regulation Crowdfunding (“Regulation CF”) with the objective of promoting capital formation and expanding...more

K&L Gates LLP

Equity Crowdfunding: Offering Fans a True Stake in Their Favorite Teams

K&L Gates LLP on

We’ve all been there—that incredible moment when our favorite team is driving down the field for the go-ahead touchdown, has runners in scoring position in the bottom of the ninth inning, or has a penalty kick in the 89th...more

Orrick, Herrington & Sutcliffe LLP

SEC Provides Temporary Relief from Certain Regulation Crowdfunding Requirements in Response to COVID-19

On May 4, 2020, the SEC adopted temporary final rules, in light of the effects of the COVID-19 pandemic, that eased Regulation Crowdfunding requirements in order to make it easier for small businesses to raise money through...more

Farrell Fritz, P.C.

COVID-19 Capital Needs Addressed by Temporary Relaxation of Title III Crowdfunding Rules

Farrell Fritz, P.C. on

Title III crowdfunding may be an attractive capital raising alternative during the current Coronavirus pandemic because it allows companies to use the internet to solicit potential investors and not be restricted to...more

Mayer Brown Free Writings + Perspectives

Annual Report of the Advocate for Small Business Capital Formation

The Office of the Advocate for Small Business Capital Formation published its annual report to the Committee on Banking, Housing and Urban Affairs of the U.S. Senate and the Committee on Financial Services of the US House of...more

King & Spalding

Seizing the Opportunity? SEC Zeroes in on Qualified Opportunity Zone (QOZ) Fund Sponsors

King & Spalding on

On July 15, 2019, the Securities and Exchange Commission (SEC) and North American Securities Administrators Association (NASAA) staffs released a joint statement (the “Statement”) addressing compliance implications for...more

Holland & Knight LLP

Offering Exemptions Available to Companies Issuing ICOs

Holland & Knight LLP on

• Issuing an initial coin offering (ICO) is a new and innovative way for companies to infuse capital into their enterprise. However, several regulatory agencies have increased their scrutiny of ICOs, including the U.S....more

Sheppard Mullin Richter & Hampton LLP

Let’s Finally Fix Crowdfunding!

On April 5, 2012, President Obama signed into law the landmark Jumpstart Our Business Startups Act (JOBS Act), for the purpose of encouraging the funding of startups and small businesses throughout the United States. Title...more

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