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Tag Archives: capital

Under a Clear Blue Sky?

Posted in Regulation A+

On April 8, Commissioner Aguilar and Commissioner Stein spoke at the North American Securities Administrators Association conference. Commissioner Aguilar noted in his remarks that “Regulation A-plus remains a work in progress, and no one can say what the ultimate outcome will be.”  The Commissioner went on to note that a workable exemption would “attract issuers… Continue Reading

JOBS Act Panel Discussion

Posted in Events

On Wednesday, September 25, Anna Pinedo participated in a Lexis Practice Advisor CLE seminar focusing on the JOBS Act. Ms. Pinedo presented on a panel entitled “The Impact of the JOBS Act on the Capital-Raising Process.” A portion of the presentation is available for replay here: http://youtu.be/-dim_TJ_UwQ.  

Foreign Issuers Accessing the U.S. Market

Posted in SEC News

The Staff of the Division of Corporation Finance recently published a summary of the various capital-raising alternatives available to foreign issuers.  The summary is accessible from this link:  http://www.sec.gov/divisions/corpfin/internatl/foreign-private-issuers-overview.shtml.  The summary incorporates discussion of the applicability of various JOBS Act provisions to offerings by foreign private issuers.

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

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

JOBS Act CFO Magazine Webcast

Posted in Events

On October 25, from 2:00-3:00pm ET, CFO Magazine will present a webcast entitled “JOBS Act: Benefits, Best Practices and Opportunities.” The JOBS Act changes many capital raising regulatory requirements with the goal of facilitating public and private offerings for small businesses. This webcast seeks to examine how the various provisions of the JOBS Act will… Continue Reading

A Capital Idea

Posted in Rule 506

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