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Investment Capital Formation

Secretariat

Reflections on Initial SEC Policy Changes Early in the Atkins Era

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Since Paul Atkins became Chairman of the U.S. Securities and Exchange Commission (SEC) on April 21, 2025, the SEC has announced significant pivots in its approaches to enforcement, regulatory guidance, investment adviser...more

Mayer Brown Free Writings + Perspectives

House of Representatives Pass Capital Formation Related Legislation

On June 23, 2025, the House of Representatives (the “House”) passed seven bills relating to capital formation. As discussed in a previous post, these bills were reported to the House by the House Committee on Financial...more

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

Vinson & Elkins LLP

Capital Commitment: A Billion-Plus for American Infrastructure

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Vinson & Elkins Partners Robert Seber, David Peck, and Megan James, counsel to Ridgewood Infrastructure, share the story behind the private equity firm’s latest success and the legal work that went into it....more

Mayer Brown Free Writings + Perspectives

House Financial Services Committee Solicits Public Feedback on Legislative Proposals to Facilitate Capital Formation

Earlier this month, the US House of Representative’s Financial Services Committee (the “Committee”) held a hearing entitled “The Future of American Capital: Strengthening Public and Private Markets by Increasing Investor...more

Latham & Watkins LLP

SEC Explores Regulatory Changes to Make It Easier to Raise Capital, Invest in Private Funds, and Be a Public Company

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The Acting SEC Chairman announced regulatory priorities designed to help companies raise capital, widen investment options available to retail investors, and reduce regulatory burdens on smaller public companies....more

Williams Mullen

PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What is a Public Offering?

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On this episode of Raising Capital 101, Tom Voekler is joined by colleagues Kathy Lawrence and Chip Cunningham to discuss what an initial public offering or IPO is, the benefit of doing an IPO, and some of the important...more

Stikeman Elliott LLP

OSC Releases 2024-2030 Strategic Plan

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On May 3, 2024, the Ontario Securities Commission (“OSC”) released its 2024-2030 strategic plan (the “Plan”), which sets out the OSC’s goals and priorities for the next six years. The product of a detailed review process, it...more

Mayer Brown Free Writings + Perspectives

Upcoming SEC Small Business Advisory Committee

The Securities and Exchange Commission announced an upcoming meeting of its Small Business Capital Formation Advisory Committee on May 6, 2024.  The meeting will include a discussion of Regulation Crowdfunding (Reg CF) and...more

Farrell Fritz, P.C.

Making Finders Keepers: Unregistered Broker-Dealers and the Need for Reform

Farrell Fritz, P.C. on

Identifying potential investors is one of the most difficult challenges facing early-stage companies.  The range of amounts sought at this stage is typically greater than what could be provided by the founders and friends and...more

Mayer Brown Free Writings + Perspectives

House to Consider Capital Formation Bills

On March 5, 2024, the House will consider capital formation related legislation, H.R. 2799.  This was originally introduced in April 2023 and reported out in July 2023.  It is comprised of 19 separate bills.  The House...more

Cadwalader, Wickersham & Taft LLP

Forbear and Move Forward April 2023 - PEI Provides an Update on Fundraising

PEI’s Fundraising Report 2023, published this week, provides a timely update on the state of play in private market capital formation. The feedback loop conundrum facing private markets emerges as one of the main themes in...more

Mayer Brown Free Writings + Perspectives

Maintaining Perspective: Governance and Disclosure Reminders for Public Companies

Companies will be affected in a variety of ways by the receivership of Signature Bank, Silicon Valley Bank or any other similarly situated financial institution. Companies may face difficulty accessing bank facilities or the...more

Mayer Brown Free Writings + Perspectives

Changing Trends in Private Capital

According to data aggregated by Carta, an ownership and equity management platform, private capital raising trends noticeably shifted in 2022. Companies in Carta’s database raised $107 billion in 6,123 deals in 2022. Overall,...more

Mayer Brown Free Writings + Perspectives

SEC Small Business Capital Formation Advisory Committee Meeting

Today, February 7, 2023, the Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee will host a meeting to discuss several matters.  The Committee will discuss alternatives to traditional...more

Morgan Lewis

Japanese Corporate Venture Capital Investments in US Startups: Part One

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The number of Japan’s corporate venture capital (CVC) funds, which invest corporate funds directly in external startup companies, and amount of their investments have risen markedly in recent years. This is especially true in...more

Mayer Brown Free Writings + Perspectives

2022 Advocate for Small Business Capital Formation Report Presents Interesting Data on the Capital Markets

The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued on December 16, 2022 its 2022 Annual Report to the U.S. Congress and to the SEC detailing how entrepreneurs,...more

Mayer Brown Free Writings + Perspectives

Global Tech Valuation Trends

The CB Insights’ recently-published Tech Valuations Report comments on technology company valuations trends and reports on a continued decline during the third quarter of the year.  The report attributes this in part to...more

Farrell Fritz, P.C.

Push to Facilitate Liquidity in Private Companies

Farrell Fritz, P.C. on

What do founders, employees and investors in privately held companies all have in common?  Limited opportunity to sell their shares.  That’s because of various legal, contractual and market factors that impede the sale of...more

Mayer Brown Free Writings + Perspectives

Liquidity Challenges for Investors in Emerging Businesses

The US Securities and Exchange Commission’s (“SEC”) Small Business Capital Formation Advisory Committee (the “Committee”) released the agenda for its virtual meeting, to be held on Tuesday, August 2, 2022, and which plans to...more

Mayer Brown Free Writings + Perspectives

What’s the Deal? – Initial Public Offerings: An Introduction

Here’s the deal: - An initial public offering (“IPO”) refers to the initial offering by a company of a class of its equity securities, usually with a contemporaneous listing of that class of securities on a national...more

Mayer Brown Free Writings + Perspectives

SEC’s Small Business Advocate to Host Capital Call on February 4th

The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued a press release announcing a call on February 4, 2020, open to the public....more

Mintz - Securities & Capital Markets...

SEC Harmonizes and Improves “Patchwork” Private Offering Framework

On November 2, the SEC adopted amendments designed to harmonize and simplify the existing, complicated framework of private offering exemptions—the primary method by which private companies raise capital. The amendments...more

Mayer Brown Free Writings + Perspectives

Healthcare Financing Trends

CBInsights recently hosted a webcast, The State of Healthcare Q2 2020. Capital raising by companies in the global healthcare sector yielded a historic high of $18.1 billion in the second quarter of 2020, and deal volume rose...more

Mayer Brown Free Writings + Perspectives

PIPE Market Update

PIPE transactions continue to be a popular capital raising approach for companies. Through July 31, 2020, companies have raised over $47.2 billion in 779 PIPE transactions. Healthcare and life sciences companies raised almost...more

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