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Capital Raising › Securities Regulation › Investment Adviser

Williams Mullen

PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What are the Different Ways Securities Can Be Offered and...

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On this episode of Raising Capital 101, Tom Voekler is joined by colleague Rhys James for the second half of our two-part series, to continue discussing different ways securities can be bought and sold, focusing on using...more

Williams Mullen

PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Laws Affect Securities Offerings?

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On this episode of Raising Capital 101, host Tom Voekler is joined by colleagues Rhys James, John Watson, and Mehanna Borostyan to discuss which laws and regulations companies need to consider when raising capital through...more

Stikeman Elliott LLP

EMDs Can Now Participate in Prospectus Offerings

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The securities regulators in Alberta, British Columbia, New Brunswick, Nova Scotia, Ontario, Québec and Saskatchewan have published a temporary exemption that allows exempt market dealers (“EMDs”) to participate in prospectus...more

Mayer Brown Free Writings + Perspectives

SEC Investor Advisory Committee to Meet and Consider Various Private Placement Related Topics

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The Securities and Exchange Commission’s Investor Advisory Committee will meet on September 21, 2023 and has announced its agenda for the meeting, which includes consideration of certain matters that are included on the SEC’s...more

Proskauer Rose LLP

Top 10 Practice Tips: Business Development Companies

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Over the last several years, an increasing number of asset managers have evaluated the potential benefits of including a business development company (BDC) as part of a diversified credit platform. A BDC is a hybrid of an...more

Mayer Brown Free Writings + Perspectives

Disclosure Guidance for Offerings for Issuers with Volatile Securities

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Recently, the Securities and Exchange Commission’s Division of Corporation Finance issued a sample comment letter that provides guidance to issuers raising capital and that have volatile securities. ...more

Goodwin

Divided SEC Votes To Propose “Finder” Exemption From Broker Registration

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On October 7, 2020, the U.S. Securities and Exchange Commission (“SEC”) voted 3-2 to propose a conditional exemption (“Exemption”) to permit natural persons to engage in limited securities activities as “finders” on behalf of...more

Foley & Lardner LLP

Is my Advisor a “Finder” or a “Broker”? Avoiding the Pitfalls of Raising Capital Using Unlicensed Broker-Dealers

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Companies seeking to expand operations often face numerous challenges. One such challenge is raising the capital necessary to make such an expansion possible. When a company sees an expansion opportunity but does not have the...more

Morrison & Foerster LLP - JOBS Act

The Guide to Social Media and the Securities Laws

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The growing use of social media has created challenges for federal securities regulators, who must enforce antifraud rules that were written at a time when the prevailing technology was the newspaper. This Guide...more

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