Securities and Exchange Commission (SEC), Threshold Requirements, Accredited Investors

SEC Streamlines Process for Verifying Accredited Investor Status for Certain 506(c) Offerings Based on Minimum Investment...

Alston & Bird on 3/31/2025

Our Investment Funds Team reviews new Securities and Exchange Commission (SEC) guidance that allows certain issuers to simplify the subscription process for 506(c) offerings....more

SEC Proposes to Update “Accredited Investor” Definition

Winstead PC on 3/11/2020

On December 18, 2019, the SEC proposed to amend its definition of “Accredited Investor” with hopes to expand access to private capital markets to a wider range of investors. The proposed changes create two new categories of...more

Report on 2019 SEC Government-Business Forum on Small Business Capital Formation Released

Mayer Brown Free Writings + Perspectives on 12/9/2019

The Securities and Exchange Commission released the report from the August 2019 Government-Business Forum on Small Business Capital Formation. The Annual Forum provides an opportunity for market participants to meet and...more

Treasury Issues Plan to Streamline Capital Markets Regulation

Stinson - Corporate & Securities Law Blog on 10/9/2017

Pursuant to Executive Order 13772, the Treasury Department has issued a report that identifies laws, treaties, regulations, guidance, reporting and record keeping requirements, and other government policies that promote or...more

SEC Completes JOBS Act Rulemaking with Amendments to Exchange Act Registration Rules

Morrison & Foerster LLP on 6/2/2016

The SEC recently adopted rules implementing Title V and Title VI of the Jumpstart Our Business Startups Act (the “JOBS Act”) and Title LXXXV of the Fixing America’s Surface Transportation Act (the “FAST Act”). Title V and...more

SEC Finalizes Rules Implementing JOBS Act and FAST Act Provisions Concerning Exchange Act Registration Thresholds

Stinson - Corporate & Securities Law Blog on 5/4/2016

On May 3, 2016, the SEC adopted final rules regarding reporting obligation thresholds under the Securities Exchange Act of 1934 mandated by the JOBS Act and the securities provisions of the FAST Act. The rules become...more

Blog: SEC Staff Report On Review Of “Accredited Investor” Definition

Cooley LLP on 12/21/2015

Today, the SEC issued a staff report, required under Dodd-Frank, on the staff’s review of the accredited investor definition. The purpose of the accredited investor concept is to identify, using a bright-line definition,...more

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