Securities and Exchange Commission (SEC), Startups, Capital Markets

Regulation A+: The Ultimate Guide from Eligibility to Compliance

Oberheiden P.C. on 3/25/2025

Regulation A+ has emerged as a powerful tool for companies seeking to raise capital from both accredited and non-accredited investors. This Regulation A+ Offerings Guide provides a comprehensive overview of Regulation A+,...more

The OASB Annual Report to Congress for Fiscal Year 2020

Mintz - Securities & Capital Markets... on 3/16/2021

In January 2019, the Office of the Advocate for Small Business Capital Formation (the “Office”) was formed “to advance the interests of small businesses and their investors at the SEC and in the capital markets.” These small...more

“Demo Days are Here Again”: Part Two of Exempt Offering Amendments Deeper Dive

Farrell Fritz, P.C. on 12/23/2020

At the 1932 Democratic National Convention, the live band at one point burst into “Happy Days are Here Again”, FDR’s favorite, drawing raucous cheers from convention delegates. It went on to become the Democratic Party’s...more

SEC Tries (and Fails) to Expand the Private Markets

The Rodman Law Group, LLC on 11/16/2020

On August 26, the U.S. Securities and Exchange Commission (“SEC”) announced several changes to the “accredited investor” definition, adding new categories of the eligible individual and corporate candidates for private...more

SEC Amends Rules to Facilitate Capital Raising in Private Offerings

Proskauer Rose LLP on 11/12/2020

On November 2, 2020, the Securities and Exchange Commission adopted amendments to facilitate the use of private, or “exempt,” offerings. The changes will impact offerings structured pursuant to Section 4(a)(2), Regulation D...more

What is Crowdfunding Anyway?

Parker Poe Adams & Bernstein LLP on 8/3/2015

Rarely has a capital markets concept been more ambiguous, and potentially more confusing, than crowdfunding. It seems that everyone has his or her own definition, which sometimes varies depending on the circumstances. ...more