Q2 By The Numbers – An Analysis of Market
First, I’d like to give credit to The DealFlow Report which was my initial source for the numerical factual information in this blog...
Home 2012 (Page 3)
SEC Still on Track to Meet the 270 Deadline to Enact Crowdfunding Rules
The SEC is still on track and expects to meet the 270 day deadline to draft rules and enact Title III of the JOBS Act creating the n...
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SEC Issues Guidance on Registration and Deregistration Under Jobs Act
On April 5, 2012 President Obama signed the JOBS Act into law. Some of the rules went into effect immediately, such as the ability...
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SEC Grants Accelerated Approval to FINRA Rule Amendment Regarding Minimum Quotation Size Requirements for OTC Equity Securities
On June 15, 2012, the SEC granted accelerated approval to an amendment to FINRA rule 6433 related to the minimum quotation size for...
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At-The-Market Offerings
Anyone that reads the trade journals knows that at-the-market offerings, or ATM’s as they are now known, have recently gained in pop...
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CFIRA Submits Crowdfunding Letter to SEC
The CFIRA (Crowdfund Intermediaries Regulatory Advocates) was established by crowdfunding industry professionals for the purpose of...
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The JOBS Act IPO On-Ramp
I’ve written extensively on the Crowdfunding Act, or Title III of the Jobs Act, and much less extensively on the other five titles o...
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The JOBS Act Is Not Just Crowdfunding
On April 5, 2012 President Obama signed the JOBS Act into law. In my excitement over this ground-breaking new law, I have been zeal...
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JOBS Act Amendments to General Solicitation and Advertising of Private Offerings
Title II of the JOBS Act provides that, within 90 days of the passage of the JOBS Act (i.e. July 5, 2012), the SEC will amend Sectio...
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SEC Approves Revision to FINRA Rule Regarding Broker Dealer FINRA Filing Requirements for Private Placement Offerings
On June 7, 2012 the SEC granted accelerated approval to a FINRA rule change regarding broker dealer FINRA filing requirements for ac...
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