Using Regulation D Rule 506(c) to Raise Capital
Summer Enforcement Action Review; Raising Money in a Pandemic - Investment Management Roundtable Discussion
Videocast: Asset management regulation in 2020 videocast series – The SEC’s proposed accredited investor definition
Investment Management Roundtable Discussion – Personal Estate Planning
Episode 20: The LLC's Two Worlds: A Conversation with Professor Peter Molk (Part Two)
Ropes & Gray’s PEP Talk: General Solicitation by Private Equity Funds Under 506(c)
Podcast: Private Fund Regulatory Update: Post-U.S. Government Shutdown
Types of Crowdfunding
JOBS Act Implementation Regulations
On March 12, 2025, staff from the Securities and Exchange Commission (SEC staff) issued new guidance regarding Rule 506(c) of Regulation D under the Securities Act of 1933 (Securities Act). We expect that such guidance will...more
The Securities and Exchange Commission (SEC) granted a no-action relief on March 12 in response to an inquiry by U.S. law firm Latham & Watkins LLP. This SEC No-Action Letter is expected to increase the adoption of Rule...more
On October 7, 2020, the Securities and Exchange Commission (SEC) proposed an exemptive order which would permit “finders” (i.e., natural persons engaged by issuers) to solicit accredited investors in connection with private...more
On August 25, 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments to the definition of “accredited investor” in Rule 501 promulgated under Regulation D of the Securities Act of 1933. Historically,...more
Finders play a vital role in introducing startups to potential investors. Yet the general requirement that persons soliciting investors must register with the Securities and Exchange Commission as broker-dealers and be...more
In the News. The Consumer Financial Protection Bureau (CFPB), along with the Federal Trade Commission (FTC) and more than 50 federal and state law enforcement partners, announced Operation Corrupt Collector, a nationwide law...more
In the News. The Securities and Exchange Commission (SEC) adopted final rules to update and expand the statistical disclosures that bank and savings and loan registrants must provide to investors for the first time in 30...more
On August 26, 2020, the U.S. Securities and Exchange Commission adopted final rules to expand the accredited investor definition and modernize the disclosure requirements under Regulation S-K Items 101 (Business), 103 (Legal...more
I’m Dreaming of . . . LIBOR Cessation and Transition. While many of us were enjoying the holiday season, federal and state financial regulators were focused on the transition away from the London Interbank Offered Rate...more
Digital assets and Blockchain technologies which were once described as the tools of criminals, are now a key part of efforts by traditional financial services firms to transform their businesses and innovative firms looking...more
At today's, February 24, 2017, Practising Law Institute SEC Speaks annual program, Acting Chair Piwowar made opening remarks. During his wide-ranging discussion, Acting Chair Piwowar, inspired by William Graham Sumner’s the...more
SEC Chair Mary Jo White gave testimony before the House of Representatives Committee on Financial Services. Ms. White stated the staff is “engaged in a comprehensive review of the “accredited investor” definition. That...more