General Solicitation - Securities & Going Public Lawyers

Accredited Crowdfunding Q & A – Going Public Lawyers

Private placement offerings under Rule 506 of Regulation D of the Securities Act of 1933, as amended (“Securities Act”) are a cost effective and relatively quick way for private companies to raise capital before, during, and after a… Read More

Accredited Crowdfunding With Rule 506 – Going Public Attorneys

As of September 23, 2013, the JOBS Act has permitted general solicitation and advertising in Rule 506(c) private placements.  While equity crowdfunding is not yet legal, both the SEC and FINRA have proposed rules for equity crowdfunding.  This… Read More

CFTC Addresses the Use of Rule 506 By Commodity Pool Operators

Securities Law Blog The Commodity Futures Trading Commission (the “CFTC”) recently issued an Exemptive Relief letter No. 14-116 allowing certain operators of commodity pools (Commodity Pool Operators) to rely upon Rule 506 for certain securities offerings.  Exemptive Relief… Read More

General Solicitation & the Rule 506 Private Placement Exemption

Securities Lawyer 101 Blog The Securities Act of 1933 (the “Securities Act”) provides for a private offering exemption from federal securities registration which is increasingly being used by both private and public companies to raise capital during market… Read More

What is an Accredited Investor?

The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) amended the definition of an “accredited” investor to exclude the value of an investor’s primary residence when determining whether the net worth of that person (or joint net… Read More

Status of JOBS Act Rules & Proposals

The Jumpstart Our Business Startups Act (or JOBS Act) (“JOBS Act”), enacted in 2012, is intended, among other things, to reduce barriers to capital formation, particularly for smaller companies. Among other things, the JOBS Act requires the SEC… Read More

Investor Relations & General Solicitation After the JOBS Act

Securities Lawyer 101 Blog Investor relations also known as stock promotion involves the publication of information about a public company to increase its stock price and trading volume. The person who publishes this information  is sometimes referred to… Read More

SEC Provides Additional Guidance For Rule 506(c) Offerings

Securities Lawyer 101 Blog On January 23, 2014, the Securities and Exchange Commission (the “SEC”) issued new guidance concerning Rule 506(c) in its Compliance and Disclosure Interpretations. In the Compliance and Disclosure interpretations, the SEC addresses Rule 506… Read More

SEC Issues New Rule 506 Guidance

 Securities Lawyer 101 Blog On January 3, 2014, the Securities and Exchange Commission (the “SEC”) released Compliance and Disclosure Interpretations.  The release provided useful information about several topics including the JOBS Act’s recently enacted Rule 506 (c) of Regulation D…. Read More

How Does A Company Verify Accredited Investor Status?

Verifying Accredited Investor Status in Rule 506(c) Offerings Rule 506(c) of Regulation D of the Securities Act of 1933, as amended allows issuers to engage in general solicitation and advertising of their exempt offering if specific requirements are met…. Read More