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HTMLRegistration Requirements Eased for Brokers and Financial Advisors in M&A Transactions
Daniel I. DeWolf, Louis Froelich; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
March 28, 2014, previously published on March 26, 2014
We are often asked whether a financial advisor or business broker may advise on mergers and acquisitions and similar business combinations of a privately held company in a stock transaction without having to register as a broker-dealer. Until recently, the answer was no, as it would violate the...

 

HTMLThe New Rule 506: a Useful Crowdsourcing Tool
Evan M. Bienstock, Daniel I. DeWolf, Samuel Effron; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
August 8, 2013, previously published on August 7, 2013
When the JOBS Act was passed in the spring of 2012, all the “buzz” was about the imminent advent of “Crowdfunding.” But as legal practitioners, business persons, and pundits looked closer at the details under the Crowdfunding rules contained in Title III of the JOBS Act, it...

 

HTMLSEC Adopts Rules Permitting General Solicitation in Private Offerings Limited to Purchases by Accredited Investors
Daniel I. DeWolf, Jeremy D. Glaser, Melanie D. Ruthrauff; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
July 24, 2013, previously published on July 22, 2013
On July 10, 2013, the Securities and Exchange Commission (the “SEC”) adopted rules that repealed a long-standing ban on the use of general solicitation for private securities offerings. These changes will be effective in approximately 60 days and will allow companies to publicly offer...

 

HTMLTwo Recent SEC No Action Letters Establish Standards for Crowdsourcing Online Platforms Limited to "Accredited Investors" to Avoid Registration as a Broker-Dealer
Daniel I. DeWolf, Steve Ganis, Jeremy D. Glaser, Melanie D. Ruthrauff; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
April 12, 2013, previously published on April 9, 2013
In two recent no action letters, the Securities and Exchange Commission (the “SEC”) granted no action relief for two venture capital online funding platforms, the FundersClub, Inc. (“FundersClub”) and AngelList, LLC (“AngelList”), allowing them to avoid...

 

HTMLOpportunities Under New Private Placement Rules
Evan M. Bienstock, Daniel I. DeWolf, Samuel Effron, Garrett Johnston; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
October 26, 2012, previously published on October 17, 2012
Historically, the biggest difference between a registered public offering and a private placement of securities in the United States has been the prohibition of general solicitations and general advertising in connection with a private placement. This distinction is about to change and will mark a...

 

HTMLRecent SEC Guidance on Crowdfunding
Evan M. Bienstock, Daniel I. DeWolf, Samuel Effron, Garrett Johnston; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
May 17, 2012, previously published on May 16, 2012
On May 7, 2012, the Securities and Exchange Commission (SEC) Division of Trading and Markets issued guidance to prospective crowdfunding intermediaries under the Jumpstart Our Business Startups (JOBS) Act (H.R. 3606) in the form of Frequently Asked Questions (FAQs). The FAQs are set forth on the...

 

HTMLA Major Change for Traditional Private Placements: General Solicitation and General Advertising Coming Soon
Evan M. Bienstock, Daniel I. DeWolf, Samuel Effron, Garrett Johnston; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
April 11, 2012, previously published on April 9, 2012
On April 5, 2012, President Obama signed into law the JOBS (Jumpstart Our Business Startups) Act (H.R. 3606), a package of bills aimed at easing the regulatory burdens on private and newly public companies during the capital-raising process. One part of the JOBS Act will remove the ban on general...

 

HTMLCrowdfunding: One Step Closer to Reality
Evan M. Bienstock, Daniel I. DeWolf, Samuel Effron, Garrett Johnston; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
March 28, 2012, previously published on March 27, 2012
On Tuesday, March 27, the House of Representatives passed the JOBS (Jumpstart Our Business Startups) Act (H.R. 3606) by an overwhelming majority of 380-41. With this vote, the JOBS Act has passed the final congressional hurdle before going to the President to be signed into law, which is expected...

 

HTMLNew Small Offering Exemption Receiving Support
Daniel I. DeWolf, Samuel Effron, Garrett Johnston; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
February 6, 2012, previously published on February 2, 2012
In the recent State of the Union address, President Obama called on Congress to pass a legislative package intended to stimulate small businesses and improve their ability to raise capital. If Congress heeds his call, small companies may soon be able to raise up to $50 million in a 12-month period...

 

HTMLRemoving the Ban on General Solicitations Gaining Momentum
Daniel I. DeWolf, Samuel Effron, Garrett Johnston; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
January 23, 2012, previously published on January 19, 2012
Privately held small businesses may soon face one less obstacle when it comes to finding potential sources of capital. Currently, capital raising efforts for these businesses, and anyone acting on their behalf, are constrained by a prohibition under the Securities Act of 1933 (Securities Act) on...

 


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