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HTMLThe Changing Landscape of Seed Stage Financing, Part I: Choosing Your Investors
Foley Lardner LLP;
Legal Alert/Article
September 18, 2013, previously published on September 12, 2013
As a startup founder, you have burned through a lot of your own savings (and maxed out the proverbial credit cards), but thankfully you have an MVP (minimal viable product) or better, and now are ready to raise your first seed financing. You are faced with a number of questions, several of which we...


Adobe PDFTSX Venture Exchange Implements Amendments to Incentive Stock Option Policy
Sherri Altshuler, Melanie Cole; Aird & Berlis LLP;
Legal Alert/Article
May 15, 2013
On May 8, 2013, the TSX Venture Exchange (the “TSXV”) implemented amendments to Policy 4.4 - Incentive Stock Options (“Policy 4.4”) which are effective immediately. Most of the amendments clarify and provide guidance on existing requirements and procedures. However, certain...


HTMLRecent SEC Settlements Serve as Cautionary Tale About the Use of Unregistered Broker-Dealers by Investment Advisers
Courtney Patrick Mitchell, Victor B. Zanetti; Andrews Kurth LLP;
Legal Alert/Article
March 28, 2013, previously published on March 21, 2013
The Securities and Exchange Commission (SEC) recently announced settlements involving a private equity firm, its former senior managing director, and an individual “finder” who solicited investors as an independent consultant for the firm. These settlements serve as a reminder to...


HTMLFuture Energy Startup-Investor Pitch in Collaboration with the MIT Clean Energy Prize: April 4th (Applications due March 6)
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
Legal Alert/Article
March 8, 2013, previously published on March 5, 2013
Ultra Light Startups recognizes that game-changing ideas in alternative and renewable energy require capital to develop. Ultra Light also knows that investors are looking for companies and ideas with breakthrough potential. That is why Ultra Light hosts monthly pitch events. If you are an...


HTMLSEC Issues Guidance on Broker-Dealer Registration Exemption in Title II of the JOBS Act
Alan Bickerstaff, William J. Cooper, Jeff C. Dodd, Edward (Ted) A. Gilman; Andrews Kurth LLP;
Legal Alert/Article
February 21, 2013, previously published on February 20, 2013
The staff of the Securities and Exchange Commission’s Division of Trading and Markets (Staff) recently issued frequently asked questions (FAQs) providing guidance about the broker-dealer registration exemption in Title II of the Jumpstart Our Business Startups Act (JOBS Act).


HTMLVTB Capital -v- Nutritek (UK Supreme Court): A Convenient Veil Drawn Over a Difficult Question
Rod J. Cowper, Mark Deem; Edwards Wildman Palmer LLP;
Legal Alert/Article
February 12, 2013, previously published on February 2013
On 6 February 2013 the UK Supreme Court refused to allow the doctrine of 'piercing the corporate veil' to be used to bind a shareholder to a contract entered into by its company. However, the decision leaves the scope of the doctrine under English law in some disarray and it may perhaps be...


HTMLFiscal Cliff Legislation Extends Tax Incentive to Invest in Small Businesses
Evan M. Bienstock, Daniel I. DeWolf, Samuel Effron, Garrett Johnston; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
January 29, 2013, previously published on January 18, 2013
As a result of the recent “fiscal cliff” legislation, otherwise known as the American Taxpayer Relief Act of 2012 (2012 Tax Act), many individual investors are expecting future tax increases, either in the form of higher capital gains tax on their investment profits or higher income...


HTMLShanghai Launches New RQFLP Programme
Yong Ren, Joyce J. Sun; Mayer Brown JSM;
Legal Alert/Article
January 16, 2013, previously published on January 14, 2013
Shanghai quietly launched a new pilot programme, RMB Qualified Foreign Limited Partner (RQFLP), towards the end of 2012 to permit qualified foreign fund managers and asset management companies to raise offshore RMB from offshore investors to invest in RMB private equity funds set up in Shanghai.


HTMLCrowdfunding Remains on Hold until SEC Issues Rules
Van R. Mayhall, Van R. Mayhall; Breazeale, Sachse & Wilson, L.L.P.;
Legal Alert/Article
December 28, 2012, previously published on December 2012
The Capital Raising Online While Deterring Fraud and Unethical Non-Disclosure Act, also known as the CROWDFUND Act, carved a new exemption out of the Securities Act of 1933 and established a new method of raising capital for start-up businesses online. Once the Securities and Exchange Commission...


Adobe PDFFINRA Reverses Course and Issues Guidance Changing Its Interpretation Regarding the Key Issues of "Potential Investors" and Non-Security Recommendations
Clifford E. Kirsch, Susan S. Krawczyk, S. Lawrence Polk, Brian L. Rubin; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
December 20, 2012, previously published on December 19, 2012
FINRA’s new suitability requirement, Rule 2011, went into effect July 9, 2012. Because the rule was such a departure from prior standards, FINRA issued Regulatory Notice 12-25 (May 2012) to explain the rule and to clarify its implications. In an unusual regulatory do-over, on December 10,...


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