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Capital Raising › Securities Regulation › Offerings

Latham & Watkins LLP

Latham Letter Begins New Era for Private Capital Fundraising

Latham & Watkins LLP on

Interpretive guidance unlocks general solicitation in Regulation D offerings with user-friendly, bright-line approach. On March 12, 2025, Latham & Watkins obtained SEC Staff guidance on the use of general solicitation in...more

Latham & Watkins LLP

The Latham FPI Guide: Accessing the US Capital Markets From Outside the United States - 2024 Edition

Latham & Watkins LLP on

Fabry-Pérot Interferometer, SA is a highly successful non-US company known to the world as FPI. FPI is considering doing a debt or equity offering in the United States. What are the key legal issues it, and its underwriters...more

Stikeman Elliott LLP

EMDs Can Now Participate in Prospectus Offerings

Stikeman Elliott LLP on

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

Private Capital and Exempt Offering Trends in SEC OASB Report

Mayer Brown Free Writings + Perspectives on

In its Annual Report (the “Report”), the Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation (OASB) provides data on the reliance by private and public companies on exempt...more

Stikeman Elliott LLP

OSC Extends Service Commitments for Prospectus and Other Filings

Stikeman Elliott LLP on

An increase in the volume and complexity of filings with the Ontario Securities Commission (OSC) has resulted in the temporary extension of review timelines for certain offering documents, compliance reviews, applications and...more

Mayer Brown Free Writings + Perspectives

Disclosure Guidance for Offerings for Issuers with Volatile Securities

Mayer Brown Free Writings + Perspectives on

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

Farrell Fritz, P.C.

Why Private Capital and Crowdfunding Markets Should be Nervous about President Biden’s Regulatory Freeze

Farrell Fritz, P.C. on

A freeze on government regulation is generally perceived by most people as being a positive development for private enterprise.  Not necessarily so, however, when the regulation being frozen is itself a reform of preexisting...more

Cozen O'Connor

SEC Votes to Harmonize and Improve “Patchwork” Exempt Offering Framework

Cozen O'Connor on

On November 2, 2020, the U.S. Securities and Exchange Commission (the SEC), by a 3 – 2 vote, amended certain rules under the Securities Act of 1933 (the Securities Act) in order to harmonize, simplify, and modernize the...more

Mayer Brown Free Writings + Perspectives

Exempt Offering Framework Amendments

Mayer Brown Free Writings + Perspectives on

On November 2, 2020, the U.S. Securities and Exchange Commission (SEC) voted to adopt amendments proposed in March 2020 that harmonize and modernize the exempt offering framework (referred to as the Amendments). As with...more

Stinson - Corporate & Securities Law Blog

SEC Harmonizes and Improves Exempt Offering Framework

Stinson - Corporate & Securities Law Blog on

The SEC adopted final rules which the SEC believes harmonizes, simplifies, and improves the complex exempt offering framework....more

Herbert Smith Freehills Kramer

SEC Proposes Rule Changes to Improve Private Placement Rules

Herbert Smith Freehills Kramer on

On March 4, the Securities and Exchange Commission (the Commission) proposed a set of amendments to the rules and regulations under the Securities Act of 1933, as amended (the Securities Act), to simplify, harmonize and...more

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