An expanded universe of individuals and entities will be able to participate as “accredited investors” in securities offerings as a result of recent SEC rulemaking.
The SEC has expanded its definition of “Accredited...more
9/10/2020
/ Accredited Investors ,
Certifications ,
Federal Register ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Private Funds ,
Private Offerings ,
Proposed Amendments ,
Rural Business Investment Companies (RBICs) ,
Safe Harbors ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC)
The rule is an expansion of a popular modernization reform previously only available to emerging growth companies.
All issuers considering a registered securities offering will now be able to engage in “testing-the-waters”...more
10/31/2019
/ Accredited Investors ,
Corporate Issuers ,
Emerging Growth Companies ,
Initial Public Offering (IPO) ,
Institutional Investors ,
JOBS Act ,
New Rules ,
Public Offerings ,
Qualified Institutional Buyers ,
Registration Statement ,
Regulation D ,
Regulation FD ,
Rule 144A ,
Rule 163B ,
Securities Act ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Testing-the-Waters Communications
On February 19, 2019, the Securities and Exchange Commission (SEC) proposed a rule that would generally permit all issuers to “jump the gun”—that is, to make offers to certain institutional investors prior to the filing of a...more
2/26/2019
/ Accredited Investors ,
Comment Period ,
Emerging Growth Companies ,
Gun-Jumping ,
Institutional Investors ,
Merger Controls ,
Mergers ,
Proposed Rules ,
Qualified Institutional Buyers ,
Registration Statement ,
Regulation FD ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Tax Cuts and Jobs Act ,
Testing-the-Waters Communications