by Staff of the Firm | Nov 21, 2016 | JOBS Act, Private Placements, Raising Capital, Securities Laws, Uncategorized
On February 1, 2016, the House of Representatives passed H.R. 2187, titled “Fair Investment Opportunities for Professional Experts Act.”[1] The bill, whose stated purpose is to direct the SEC to revise its regulations regarding the qualifications of natural persons...
by Staff of the Firm | Nov 10, 2016 | JOBS Act, Private Placements, Raising Capital, Securities Laws, Uncategorized
In our last post, we looked at the recent recommendations by the Securities and Exchange Commission’s (“SEC”) Advisory Committee on Small and Emerging Companies (the “Committee”) to expand the definition accredited investor.[1] For those who are familiar with the...
by Staff of the Firm | Nov 8, 2016 | JOBS Act, Private Placements, Raising Capital, Securities Laws, Uncategorized
In our previous blog post Raising Capital Through Exempt Offerings, we talked about some of the most commonly used exemptions for securities offerings. Of note, we mentioned that Rule 506 promulgated under Regulation D is the most widely used transactional exemption...
by Staff of the Firm | Oct 25, 2016 | Avoiding Investment Scams, Raising Capital, Securities Laws, Uncategorized
When we write about securities law issues here, we tend to focus on enforcement actions or investor alerts by the Securities and Exchange Commission (SEC). For instance, in our previous blog series “SEC Issues an Investor Alert on Social Media and Investing,” we...
by Staff of the Firm | Sep 13, 2016 | JOBS Act, Private Placements, Raising Capital, Securities Laws, Uncategorized
Startups and early-stage companies often ask us when they need securities law advice (other than when obviously dealing with securities). Our answer is: as soon as you start thinking about raising capital or bringing in investors. Here’s why. Under the federal...
