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|The Changing Landscape of Seed Stage Financing, Part I: Choosing Your Investors|
Foley Lardner LLP;
September 18, 2013, previously published on September 12, 2013As 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...
|TSX Venture Exchange Implements Amendments to Incentive Stock Option Policy|
Sherri Altshuler, Melanie Cole; Aird & Berlis LLP;
May 15, 2013On 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...
|Recent 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;
March 28, 2013, previously published on March 21, 2013The 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...
|Future 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.;
March 8, 2013, previously published on March 5, 2013Ultra 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...
|SEC 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;
February 21, 2013, previously published on February 20, 2013The 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).
|VTB Capital -v- Nutritek (UK Supreme Court): A Convenient Veil Drawn Over a Difficult Question|
Rod J. Cowper, Mark Deem; Edwards Wildman Palmer LLP;
February 12, 2013, previously published on February 2013On 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...
|Fiscal 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.;
January 29, 2013, previously published on January 18, 2013As 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...
|Shanghai Launches New RQFLP Programme|
Yong Ren, Joyce J. Sun; Mayer Brown JSM;
January 16, 2013, previously published on January 14, 2013Shanghai 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.
|Crowdfunding Remains on Hold until SEC Issues Rules|
Van R. Mayhall, Van R. Mayhall; Breazeale, Sachse & Wilson, L.L.P.;
December 28, 2012, previously published on December 2012The 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...
|FINRA 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;
December 20, 2012, previously published on December 19, 2012FINRA’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,...