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Private Investment Funds Private Placements

Proskauer Rose LLP

SEC Eases Verification Burdens in Rule 506(c) Offerings

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The SEC’s Division of Corporation Finance recently issued an interpretive letter providing additional insight as to what constitutes “reasonable steps” to verify an investor’s accredited investor status under Rule 506(c) of...more

Proskauer Rose LLP

Rescue and Recovery Capital – A Guide for Companies and Investors

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In light of the significant liquidity challenges and deterioration in the stock prices and asset values the COVID-19 pandemic has caused for many otherwise healthy public companies, many of those same companies and investors...more

Mayer Brown Free Writings + Perspectives

What’s the Deal? – Private Investments in Public Equity PIPE Transactions

Market volatility is now the norm. Financing “windows” often open and close rather abruptly, and issuers must be prepared to undertake a capital-raising transaction quickly. Often, a PIPE transaction can be executed during...more

Miller & Martin PLLC

SEC Eliminates Ban on General Solicitation in Private Offerings

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On July 10, 2013, the SEC took the following actions that are likely to have a significant impact on hedge funds, private investment funds and other companies that raise capital through private offerings of securities...more

Mintz

New FINRA Rule 5123 Regarding Private Placements of Securities Effective December 3, 2012

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In an effort to enhance oversight and investor protection over private placement activity of firms on behalf of other issuers, new Financial Industry Regulatory Authority, Inc. (FINRA) Rule 5123 became effective on December...more

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