Topic
General Solicitation
59 published works
Compliance Building
Pre-existing, Substantive Relationships and General Solicitation
As cryptocurrency issuance declines, the Securities and Exchange Commission is continuing to clean out the fraud, mis-steps, and foolishness of coin promoters. These actions have carried over to the services…
Andrew Abramowitz, PLLC
Reluctance to Engage in Accredited Investor Verification
Rule 506(c), the provision arising out of the JOBS Act that enables companies to raise capital using general solicitation and advertising while still being exempt from SEC registration requirements, has…
The D&O Diary
Guest Post: General Solicitation Under Rule 506(b) After Citizen VC: Guiding Principles and Best Practices
[caption id="attachment_12193" align="alignleft" width="174"] Richard M. Leisner[/caption] In August 6, 2015, the SEC Division of Corporation Finance issued an interpretive letter to Citizen VC concerning exempt private offerings under Rule…
Corporate and Securities Law
SEC Opinion Examines Reasonable Belief and Accredited Investor Status
New York Venture Hub
New SEC Guidance on What Constitutes “General Solicitation”
August 6, 2015 was a productive day for the Staff of the Securities and Exchange Commission’s Division of Corporation Finance on the issue of the prohibition on general solicitation in…
Real Lawyers Have Blogs
Top 10 in Law Blogs: AirBnB, General Solicitation, Mobile Location Analytics
The latest version of Obama's "Alright Congress you won't act? I'll at least make it a law for federal contractors" tactic is this week's big legal news—as an executive order…
Corporate & Financial Weekly Digest
SEC Division of Corporation Finance Issues New C&DIs Relating to General Solicitation and Regulation D
By Mark J. Reyes, Mark D. Wood, Jonathan H. Bernstein
On August 6, the Staff of the Division of Corporation Finance of the Securities and Exchange Commission (Staff) released new Compliance and Disclosure Interpretations (C&DIs) relating to “general solicitation” under…
Corporate and Securities Law
SEC Explains How to Form a Pre-Existing Relationship Using the Internet; New CDIs Issued
Corporate and Securities Law
Crowdfunding Coming to Minnesota
Corporate & Financial Weekly Digest
CFTC Aligns CPO Regulation With JOBS Act, Provides Other Guidance for CPOs
The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) recently issued several letters affecting commodity pool operators (CPOs): JOBS Act Harmonization: On September 9, DSIO issued…