News & Analysis as of

Early Stage Companies Investors Securities and Exchange Commission (SEC)

Farrell Fritz, P.C.

Making Finders Keepers: Unregistered Broker-Dealers and the Need for Reform

Farrell Fritz, P.C. on

Identifying potential investors is one of the most difficult challenges facing early-stage companies.  The range of amounts sought at this stage is typically greater than what could be provided by the founders and friends and...more

Foley Hoag LLP

Massachusetts Angel Investor Tax Credit Program for Life Sciences Investments

Foley Hoag LLP on

Are you an investor who has or is interested in funding an early-stage life sciences company in Massachusetts? If so, we have good news. Massachusetts offers an Angel Investor Tax Credit program that could provide certain...more

Mayer Brown Free Writings + Perspectives

SEC Investor Advisory Committee to Meet and Consider Various Private Placement Related Topics

The Securities and Exchange Commission’s Investor Advisory Committee will meet on September 21, 2023 and has announced its agenda for the meeting, which includes consideration of certain matters that are included on the SEC’s...more

Perkins Coie

Private Early-Stage Startup Companies Coming Under Increased SEC Scrutiny

Perkins Coie on

While sophisticated participants in private markets have historically been seen as capable of bargaining for information or withstanding losses better than mom-and-pop investors, current events signal that the U.S. Securities...more

WilmerHale

In Case You Missed It: Launch Links - September 2021 #3

WilmerHale on

Some interesting links we found across the web this week: What Does the US Data Breach Bill Mean for Your Organization? A business must always be wary of the potential for cyberattacks and data breaches, and Congress...more

Davis Wright Tremaine LLP

Can a Startup Pay a Transaction-Based Fee or Commission to Someone Who Helps Raise Capital?

We can't tell you how often we are presented with this question. For the most part, the answer is a clear "no," but why is that? The short answer is that—except under certain limited circumstances—it is likely illegal, it may...more

Mayer Brown Free Writings + Perspectives

SEC’s Inaugural Capital Call

On January 23, 2020, the SEC’s Office of the Advocate for Small Business Capital Formation (the “Office”) hosted its first Capital Call, during which the Advocate for Small Business Capital Formation and Director of the...more

Morrison & Foerster LLP - JOBS Act

SEC Issues Investor Alert on Crowdfunding

With the May 2016 effective date of the new crowdfunding rules approaching, the SEC is attempting to help prepare the market. On February 16, 2016, the SEC’s Office of Investor Education and Advocacy issued an investor...more

McCarter & English, LLP

SEC (Finally) Adopts New Equity Crowdfunding Rules, Promoting Increased Access to Capital and Democratization of Investment...

Late last week, the SEC adopted its final rules for equity crowdfunding under Title III of the JOBS Act. These rules, when implemented, have the promise of reducing the cost and increasing the availability of sorely needed...more

Stinson - Corporate & Securities Law Blog

SEC Investor Advocate Wants to Nix NYSE Proposal

The SEC Office of Investor Advocate has recommended disapproval of a proposed rule change of the New York Stock Exchange. In its proposed rulemaking, the NYSE would exempt certain early stage companies from having to obtain...more

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