Law Blog Category: Regulation A

Updates On Regulation A+

October 10, 2017 in C&DI, Form 1-A, Regulation A, Regulation A+

On September 14, 2017, the SEC issued three new Compliance and Disclosure Interpretations (C&DI) to provide guidance related to the filing of a Form 8-A in conjunction with a Tier 2 Regulation A offering. The new guidance addresses the timing of financial statements and subsequent reporting requirements under the Securities Exchange Act of 1934 (“Exchange Read the full article…

SEC Issues Additional Guidance on Regulation A+

June 20, 2017 in Regulation A, Regulation A+, SEC

On March 31, 2017, the SEC Division of Corporation Finance issued six new Compliance and Disclosure Interpretations (C&DI) to provide guidance related to Regulation A/A+. Since the new Regulation A+ came into effect on June 19, 2015, its use has continued to steadily increase. In my practice it is the most popular method for a Read the full article…

Road Shows

Introduction; Definitions We often hear the words “road show” associated with a securities offering. A road show is simply a series of presentations made by company management to key members of buy-side market participants such as broker-dealers that may participate in the syndication of an offering, and institutional investor groups and money managers that may Read the full article…

The SEC Has Issued New C&DI Guidance On Regulation A+

January 24, 2017 in C&DI, Regulation A, Regulation A+, SEC

  On November 17, 2016, the SEC Division of Corporation Finance issued three new Compliance and Disclosure Interpretations (C&DI) to provide guidance related to Regulation A/A+. Since the new Regulation A+ came into effect on June 19, 2015, its use has continued to steadily increase.  In my practice alone I am noticing a large uptick Read the full article…

SEC Issues New C&DI On Rule 701

On June 23, 2016, the SEC issued seven new Compliance and Disclosure Interpretations (“C&DI”) related to Rule 701 of the Securities Act of 1933, as amended (“Securities Act”). On October 19, 2016, the SEC issued an additional three C&DI. The majority of the new C&DI focus on the effect on Rule 701 issuances following a Read the full article…

Testing The Waters; Regulation A+ And S-1 Public Offerings – Part 2

Testing The Waters; Regulation A+ And S-1 Public Offerings – Part 1

OTC Markets Petitions The SEC To Expand Regulation A To Include SEC Reporting Companies

State Blue Sky Concerns; Florida and New York

More On Regulation A/A+; Thoughts On The Practical Effects And New SEC Guidance

1 2 3