Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE

Jill Radloff and I recently gave a presentation at a CLE session in Minneapolis, Minnesota on the JOBS Act and Other SEC and Dodd-Frank developments.  We covered:

  • The repeal of the ban on general solicitations in Rule 506 offerings
  • Changes to the definition of accredited investor mandated by the Dodd-Frank Act
  • “Bad actor” disqualifications for Rule 506 offerings
  • Changes to the Exchange Act registration thresholds
  • The ability of the SEC to promulgate a new exemption from registration under so called Regulation A+
  • The IPO on-ramp provisions of the JOBS Act for emerging growth companies
  • Crowdfunding
  • How the conflict mineral provisions of the Dodd-Frank Act will affect private companies
  • The business conduct standards for swap dealers
  • Special board approvals that will be required for public companies to rely on the end user exception for uncleared swaps

You can find our written materials here and our PowerPoint presentation here.

Check frequently for updated information on the JOBS Act, the Dodd-Frank Act and other important securities law matters.

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