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Category Archives: Securities Offerings
General Solicitation, Where Are You?
The Jumpstart our Business Startups Act (JOBS Act) was signed into law on April 5, 2012 and was to (among other things) allow businesses to generally solicit investors for certain securities offerings as well as create guidelines for crowdfunding. The Jobs Act required the SEC … Continue reading
Can I Generally Solicit Investors?
Not yet! As you know, on August 29, 2012, the SEC proposed rules to eliminate the ban on general solicitation in certain securities offerings. Since then the SEC has been receiving comments and suggestions on its proposed rules; you can … Continue reading
What is a Finder?
Its no secret that both private and public companies, large or small have challenges raising much needed capital from investors. Access to equity can be difficult when complying with a maze of state and federal rules and regulations. Business owners … Continue reading
Posted in IPO, Reg D 506, Securities Offerings
Tagged Broker-dealer, equity, Finder, FINRA, investment, investor, money, Reg D 506, SEC, Smaller Reporting Company, unlicensed broker dealer
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Rule 506 and General Solicitation
On August 31, 2012 the SEC issued proposed rules that would eliminate the prohibition against general solicitation and advertising in Rule 506 offerings. The SEC has requested comments on the proposed rules within 30 days. You may provide your comments … Continue reading
The Amish and the SEC- A Lesson in Cooperation
“You can tell when you’re on the right track. It’s usually uphill”~ Amish Quote on Faith On July 18, 2012, the SEC announced that it entered into a Deferred Prosecution Agreement with the Amish Helping Fund (AHF). The AHF is … Continue reading
JOBS Act and General Solicitation of 506 Offerings
The JOBS Act (the “Act”), signed into law on April 5, 2012, promises to have a significant impact on the sales of securities under federal securities laws. Currently, any issuer intending to rely on the Rule 506 exemption in an … Continue reading
Posted in JOBS Act, Reg D 506, Securities Offerings
Tagged general solicitation, JOBS Act, Offerings, Reg D 506, stoecklein law group
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Jennifer Trowbridge
