Header graphic for print
MoFo Jumpstarter For jumpstarts, upstarts and start-ups

Tag Archives: communications

JOBS Act 2.0 Taking Shape?

Posted in JOBS Act News

Congressman Garrett recently renewed discussions regarding additional individual legislative initiatives or other proposals relating to promoting capital formation that might well be grouped together into a single “JOBS Act 2.0″ measure.  These matters had been scheduled (prior to the shutdown) to be considered at a hearing on October 9, 2013. Commentators have noted that the… Continue Reading

Before You Start That General Solicitation…

Posted in Private Placements, Rule 506 Rulemaking

This week, the SEC approved long-awaited amendments relaxing the prohibition against general solicitation, as required under Title II of the JOBS Act.  These amendments will liberalize the ability of broker-dealers to advertise and market private placements by removing the prohibition against general solicitation in offerings conducted pursuant to new Rule 506(c).  However, following the effective… Continue Reading

Easier to Communicate? Remember FINRA’s Communications Rules

Posted in Communications

FINRA’s sweeping overhaul of its rules governing communications with the public become effective today.  The new rules and guidance, which the SEC approved last year, are likely to keep compliance officers busy for quite some time. The revisions simplify some rules, but also create new compliance challenges.  Most significant, FINRA reduced the number of categories… Continue Reading