On December 14, 2023, the Securities and Exchange Commission (SEC) released a staff report on the definition of accredited investor, examining the current status of the accredited investor pool and discussing several...more
Summary -
Recent Securities and Exchange Commission rule amendments for exempt offerings are intended to harmonize registration exemptions to eliminate complexity and facilitate access to capital and investment—while...more
The Securities and Exchange Commission voted 3-2 last week to adopt amendments to the “accredited investor” definition, one of the tests the SEC uses to determine eligibility to invest in unregistered private offerings of...more
9/1/2020
/ 501(c)(3) ,
Accredited Investors ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Reform ,
Investment Adviser ,
Qualified Institutional Buyers ,
Regulation D ,
Rule 144A ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The Securities and Exchange Commission (SEC) has adopted final rules modernizing and expanding the ways in which smaller companies can raise capital.
Rule 147 of the Securities Act of 1933, as amended, provides a safe...more
10/31/2016
/ Capital Raising ,
Crowdfunding ,
Doing Business ,
Financial Institutions ,
Financial Markets ,
Public Offerings ,
Regulation D ,
Residency Status ,
Rule 147 ,
Rule 504 ,
Safe Harbors ,
Securities ,
Securities Act ,
Securities and Exchange Commission (SEC) ,
Transacting Intrastate Business
The Securities and Exchange Commission (SEC) took long-awaited action on July 10, 2013, to finalize and adopt new rules that eliminate the current prohibition against general solicitation and advertising in certain Rule 506...more