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We are glad to inform you that the Securities and Exchange Commission (SEC) is hosting a virtual event in an effort to bring the public and private sectors together. The 39th Annual Government-Business Forum on Small Business Capital Formation is a great opportunity to create public policy solutions that provide much-needed support for emerging businesses and their investors.
Read MoreFirst, let’s talk about the fact that issuers of securities that utilize accredited investors have many more options in the private placement market compared with non-accredited investor-related offerings. Many of these options are exempt from SEC registration requirements. For instance, securities offered under the exemption in Rule 506(c) of Regulation D may be publicly advertised, but they are only open to accredited investors.
Read MoreHere’s an essential question for anyone issuing multiple securities transactions: must the transactions be included in one single offering? To answer this question, issuers must refer to the myriad rules and Securities and Exchange Commission (SEC) guidance documents that make up the current Securities Act integration framework for registered and exempt offerings. There is a complicated process in place that issuers must follow to answer the question. In March of 2020, to provide issuers with a clearer and more straightforward answer, the Commission proposed a “general principle of integration,” as well as four new safe harbors from integration.
Read MoreBecause broad solicitation and advertising are very important to many issuers of private placement offerings, Rule 506(c) of Regulation D of the Securities Act is a popular exemption from SEC registration requirements. Now, a newly proposed addition to the list of Rule 506(c) investor verification methods is expected to ease the process. Additionally, we’ll cover other situations when the rule requires fewer verification steps than usual.
Read MoreIn the private placement world, the Regulation A market is sizeable. In total, issuers of Regulation A offerings reported raising around $2.4 billion USD in 382 qualified offerings between June 2015 and December 2019. Notably, nearly 91% of those funds were for higher capital offerings raised under Tier 2, so that’s where the Securities and Exchange Commission (SEC) focused its proposed changes to Regulation A. Here’s how offering limits might increase and why.
Read MoreRecently proposed Securities and Exchange Commission (SEC) rules would allow issuers to vet their investors more efficiently, gauging market interest while saving time and money. Notably, as explained in the SEC’s recently proposed amendments released in March, Rule 148 would expand the “demo day” provisions, while Rule 241 would expand the “test-the-waters” accommodations.
Read MoreThe National Market System (NMS), which is the United States’ equity trade and fulfillment system, has changed very little since its inception in the 1970s. This is despite drastic changes to the data utilized in trade since then, along with many rapid technological changes. In February, the Securities and Exchange Commission (SEC) issued a press release entitled “SEC Proposes to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Securities Market Data: Seeks to Introduce Competitive Forces to Core Components of the System for the First Time.” If passed, the proposal would be one of the more significant regulatory improvements in the history of the NMS. Under the newly proposed rules, investors would be able to access more complete data about certain stock prices, sales, auctions, and other market information more quickly and easily than they can right now.
Read MoreMost people would agree that investing in new ventures and innovative technologies can be exciting. At the same time, investors might wonder: Is this offering for me? One example of a new type of investment opportunity is the initial exchange offering (IEO), a digital asset similar to the initial coin offering (ICO). Both of these raise funds through tokens, coins, and other digital assets.
Read MoreOne of the largest obstacles in the crypto space is that many felt stifled by government regulation at one time or another. Now, an exciting new development, if implemented, could lead to industry expansion and more mature tokenization projects in the future.
Read MoreIt’s unprecedented! Stores, restaurants, airlines, factories, and other businesses continue to shut down around the world due to the novel coronavirus pandemic. That’s why economists now believe that we are entering a global recession, according to CNN. Notably, a recession occurs when the GDP declines for two consecutive quarters. Here’s some background on why this new coronavirus is wreaking havoc, how the world economy is faring, and what governments and banks are doing to fix the virus’s negative economic consequences.
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