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Tag Archives: 3(a)(2)

Section 3(b)(2) Exemption and Capital-Raising by Banks

By Anna Pinedo and Jim Tanenbaum on Posted in Regulation A+

Many banks have taken advantage of the provisions of the JOBS Act regarding the holder-of-record threshold to deregister and terminate their registration.  Banks may want to consider their capital-raising alternatives going forward.  A community or small bank that is no longer subject to Exchange Act filing requirements may consider a Rule 506 offering.  A Rule… Continue Reading

A Capital Idea

By Anna Pinedo on Posted in Rule 506 Rulemaking

Many smaller banks in the United States recently received a bit of surprising news.  The banking agencies published their notices of proposed rulemaking relating to the bank capital requirements.  The Basel III NPR made clear that only the smallest banks in the United States would be exempt from compliance with the heightened regulatory capital requirements… Continue Reading