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Small Business Securities and Exchange Commission (SEC) Capital Formation

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

Mayer Brown Free Writings + Perspectives

SEC Advisory Committee to Discuss Capital Challenges for Small Businesses

The Securities and Exchange Commission’s (SEC) Small Business Capital Formation Advisory Committee will meet on February 25, 2025 to discuss capital-raising challenges for emerging fund managers and smaller public companies...more

Foley Hoag LLP - Public Companies & the Law

2024 OASB Report on IPO Activity and Small Public Companies

The SEC Office of the Advocate for Small Business Capital Formation has released its Annual Report for Fiscal Year 2024, shedding light on the current state of initial public offerings (IPOs) and the challenges faced by small...more

Morris, Manning & Martin, LLP

SEC's Advocate for Small Business Capital Formation Explores the Use of Rule 506(c) Offerings by Alternative Investment Managers

A recent report from the SEC's Office of the Advocate for Small Business Capital Formation presents a study on how the Rule 506(c) exemption under Regulation D of the Securities Act of 1933 is used in fundraising by venture...more

Mayer Brown Free Writings + Perspectives

Small Business Capital Formation Committee Submits Accredited Investor Definition Recommendations to SEC

On May 1, 2024, the SEC Small Business Capital Formation Committee submitted its accredited investor definition recommendations to the SEC.  Currently, an investor may qualify as an accredited investor by meeting certain...more

Mayer Brown Free Writings + Perspectives

The SEC and Capital Formation

Not long ago, the SEC hosted the Annual Small Business Forum.  The Forum provides an opportunity to consider a broad array of issues affecting private companies as well as smaller public companies seeking to raise capital and...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

Mayer Brown Free Writings + Perspectives

Accredited Investor Definition Recommended Changes

As we previously posted, the Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee met last week to consider changes to the accredited investor definition, which has become a political hot...more

Mayer Brown Free Writings + Perspectives

Public Offering Trends in SEC OASB Report

As we previously blogged, the Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation (OASB) recently published its Annual Report (the “Report”), which includes data on public...more

Mayer Brown Free Writings + Perspectives

Report on Small Business Forum

The Securities and Exchange Commission recently published its report on the Government-Business Forum on Small Business Capital Formation, which generates recommendations from participants that the SEC considers.  The...more

Mayer Brown Free Writings + Perspectives

Commissioners’ Comments at the 42nd Annual Small Business Forum

The Securities and Exchange Commission’s Office of the Investor Advocate held the 42nd Annual Small Business Forum—this time convening panels over four days on various topics, including trends and challenges affecting early...more

Mayer Brown Free Writings + Perspectives

Going Public in the 2020s

Speaking at a conference at Columbia University as part of the Columbia Law and Business Schools’ Program in the Law and Economics of Capital Markets, Securities and Exchange Commission Commissioner Uyeda shared his views...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

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

SEC Small Business Capital Formation Advisory Committee Examines the Public Market

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee held a panel discussion on recent trends in taking a company public during its October 13, 2022 meeting. The panel, “Update on the...more

Mayer Brown Free Writings + Perspectives

41st Annual Small Business Forum

Recently, the Securities and Exchange Commission (the “SEC”) released its report to Congress summarizing the principal policy recommendations made at the 41st Annual Government-Business Forum on Small Business Capital...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

Trends in Capital Formation: The SEC’s OASB Annual Report

The SEC’s Office of the Advocate for Small Business Capital Formation (“OASB”) recently issued its 2021 Annual Report (the “Report”), which reviews the capital raising activities of a variety of companies, from startups and...more

Mintz - Securities & Capital Markets...

The OASB Annual Report to Congress for Fiscal Year 2020

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

Mayer Brown Free Writings + Perspectives

Annual Report of the Office of the Advocate for Small Business Capital Formation

The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation recently delivered its annual report for FY2020 to the Committee on Banking, Housing and Urban Affairs of the US Senate and...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

Mayer Brown Free Writings + Perspectives

SEC Small Business Capital Formation Advisory Committee Meeting

The Securities and Exchange Commission recently announced that its Small Business Capital Formation Advisory Committee will hold a public meeting on January 29, 2021.  The meeting will be held by videoconference, and open to...more

Sullivan & Worcester

SEC Changes Rules to Improve Deal Flow for Private Companies and Investors

Sullivan & Worcester on

In a 3-2 vote held in November 2020, the SEC approved new rules and amendments to existing rules that are intended to harmonize, simplify and improve the private placement regime that start-ups and other issuers, small and...more

Sheppard Mullin Richter & Hampton LLP

SEC Adopts Rule Amendments Aimed at Expanding Access to Capital

On November 2, 2020, the Securities and Exchange Commission adopted amendments intended to ease the rules for certain exempt offerings. These changes include increasing the annual cap on equity crowdfunding from $1.07 million...more

Buchalter

SEC “Harmonizes” Exempt Offering Framework

Buchalter on

On November 2, 2020, the Securities and Exchange Commission voted to harmonize, simplify, and improve the current tangled framework for exempt securities offerings, a move intended to promote capital formation and expand...more

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