Securities

stock exchange, profits, boom

SEC Raises Some Exemption Caps, Expanding Access to Capital (& Integration Framework)

In another move that should expand access to capital (see previous coverage of the slight expansion of the Accredited Investor standard here), the SEC on November 2, 2020 raised the caps on the amount that can be raised under certain offering exemptions. Here is the press release from SEC. As a baseline rule, the United …

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piggy bank, money, finance

SEC Expands Definitions of Accredited Investor and QIB, Widening Access to Private Offerings

  If you have ever raised money as a startup, done private securities deals, raised money for private equity, or done other similar private securities market activities, you know how important the “Accredited Investor” standard is. HINT: if you want to get to exactly what the changes were, then please skip to Part 3 In …

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INFOGRAPHIC: How a Startup Grows

The attached infographic shows an example of a company’s journey from its beginning to initial public offering (IPO). Your startup may or may not follow this exact path – some stages may be compressed into one, and others may be separated into different parts. Your company may receive a buyout offer somewhere along the way. …

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Goldman Sachs Will Reject Your IPO if Your Board is All Straight White Men

Goldman Sachs hardly needs an introduction – it is one of the largest, most prominent, and most prestigious investment banks and underwriters of initial public offerings (or IPOs) and an economic titan. This January, Goldman made some waves in the world of corporate boards. David Solomon, Goldman’s CEO, issued a bold statement from the World …

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Big Changes to Securities Offering Exemptions on the Horizon? SEC Seeks Comments on “Harmonization” of Exemptions

On June 18, 2019, the U.S. Securities and Exchange Commission (the “SEC”) published a 211-page Concept Release on Harmonization of Securities Offering Exemptions (the “Release”), seeking comments related to the exempt offering framework for securities (and, as you might have guessed from the title, the harmonization of the various exemptions). The Current Capital-Raising Landscape The …

Big Changes to Securities Offering Exemptions on the Horizon? SEC Seeks Comments on “Harmonization” of Exemptions Read More »

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