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|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,...
|Will Canada Make Room for Crowdfunding?|
Andrea C. Johnson; Dentons Canada LLP;
December 14, 2012, previously published on October 2012When the U.S. recently changed its securities laws to enable equity crowdfunding, advocates of the practice to the North started urging Canadian securities administrators to follow suit. What reforms are needed to enable equity crowdfunding in Canada? Taking a closer look at how crowdfunding fits...
|JOBS Act Passed, Now What? 5 things Mature Companies & Entrepreneurs Need to Think About|
Lauren Mack, Kaiser Wahab; Wahab & Medenica LLC;
November 21, 2012On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (JOBS Act), which makes substantial changes securities laws by making it easier for startups and small businesses to raise funds, stay private longer, and avoid or delay some of the burdens that come with...
|Liberalizing SEC Rule 506: Not So Fast!|
Gregory S. Fryer; Verrill Dana LLP;
November 20, 2012, previously published on November 16, 2012On August 29, 2012 the Securities and Exchange Commission published a rule proposal to allow advertising in so-called “accredited only” offerings under SEC Rule 506. At the time, there was reason to hope that a final rule might be in place by late October. That didn’t happen, and...
|New CIRC Rules Aimed at Expanding China's Overseas Insurance Investment|
Yong Ren, Joyce J. Sun; Mayer Brown JSM;
October 31, 2012, previously published on October 30, 2012China Insurance Regulatory Commission (CIRC) issued the Interim Measures on the Administration of Overseas Investments of Insurance Funds (the Interim Measures) in 2007 to establish a basic legal framework for China's domestic insurance sector to make offshore investments.
|Opportunities Under New Private Placement Rules|
Evan M. Bienstock, Daniel I. DeWolf, Samuel Effron, Garrett Johnston; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
October 26, 2012, previously published on October 17, 2012Historically, 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...
|A New Era for Enforcement of Foreign Arbitration Awards in India|
Kevin R. Owen; Mayer Brown JSM (Singapore) Pte. Ltd.;
October 16, 2012, previously published on October 12, 2012 The Indian Supreme Court has issued an important decision that affects the enforceability of foreign international arbitration awards in India.
|NYSE and NASDAQ Propose Listing Standards for Compensation Committees and Compensation Advisers|
Paul Bork, Dean F. Hanley; Foley Hoag LLP;
October 15, 2012, previously published on October 9, 2012On September 25, 2012, the New York Stock Exchange and the NASDAQ Stock Market proposed rule changes to their respective listing standards affecting public company boards of directors, compensation committees and compensation advisers in response to recently adopted directives of the Securities and...
|Opportunities Abound in Canadian Capital Markets: A Case for Indian Entrepreneurs|
Manoj Pundit, Krstina Skocic, Steve Suarez; Borden Ladner Gervais LLP;
October 4, 2012, previously published on Fall 2012The Canadian capital markets offer substantial opportunities for Indian companies interested in raising capital and gaining further exposure to foreign investors. The senior market for public trading in Canada is the Toronto Stock Exchange (“TSX”) while the TSX Venture Exchange...
|SEC Proposes Amendments to Allow General Solicitation in Certain Private Offerings Pursuant to JOBS Act|
Alan Bickerstaff, William J. Cooper, Jeff C. Dodd, Edward (Ted) A. Gilman; Andrews Kurth LLP;
September 27, 2012, previously published on September 21, 2012The Securities and Exchange Commission (SEC) recently proposed amendments to Rules 506 and 144A under the Securities Act of 1933 (Securities Act) to eliminate existing restrictions on general solicitation and general advertising (referred to throughout this alert as "general...