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SEC Lifts Ban On General Solicitation, Allowing Startups To Advertise That They’re Fundraising

The SEC has just voted 4 to 1 in favor of implementing section 201(a) of the JOBS Act, which lifts the ban on general solicitation and permits startups, venture capitalists, and hedge funds to openly advertise that they’re raising money in private offerings. While it may pose added risk of investors being misled, it should […]

US IPO Market – 2012 Annual Review

After the fastest start since 2000, with the most anticipated deal in years on the horizon, the US IPO market entered May in prime condition. However, the European debt crisis intervened yet again, and a market decline turned into a month-long drought for IPOs following Facebook’s botched offering. Deal activity returned sporadically in the second […]

Public debt and equity issues fell to $1.07 trillion between 2009 and 2010, while private issues rose to $1.16 trillion

Who Needs Wall Street? Public debt and equity issues fell to $1.07 trillion between 2009 and 2010, while private issues rose to $1.16 trillion By DANIEL GORFINE AND BEN MILLER  / Wall Street Journal February 4, 2013 A tectonic shift is under way in how companies raise money—and it will have a profound impact on […]

New delisting rules affect Frankfurt Stock Exchange (FSE)

First Quotation Board Closing New rules will affect all First Quotation Board listed companies All companies listed on the First Quotation Board segment of the Frankfurt Stock Exchange will be delisted if they do not meet the new requirements and upgrade to the Entry Standard segment before 15 December 2012.  The process of upgrading to […]

The Series A crunch is hitting now. Have we even noticed?

Great article from Sarah Lacy on the recent struggles of Series A companies inability to raise capital or receive a good venture terms. By Sarah Lacy On November 28, 2012 I’ve been hearing about the so-called Series A Crunch for at least six months, and in recent weeks, I’ve spoken with more than 20 venture […]

DCIA & CCA Announce CLOUD COMPUTING WEST 2012 Speaker Derek Cahill

                  DCIA & CCA Announce CLOUD COMPUTING WEST 2012 Speaker Derek Cahill Trade Associations Serve Industry’s Explosive Growth with Strategic Business Summit  Washington, DC and New York, NY – October 29, 2012 – The Distributed Computing Industry Association ( and the Cloud Computing Association ( today announced that Derek Cahill of MD Capital Advisors […]

SEC Proposes Rules to Implement JOBS Act Provision About General Solicitation and Advertising in Securities Offerings

SEC Moves Forward on JOBS Act: The SEC met on August 29th to discuss the required implementation of the JOBS Act.  Specifically, the meeting focused on Title II of the Act in connection with lifting the ban on the general solicitation and sale of certain securities.  The SEC proposal under Regulation D, Rule 506, which […]

SEC mulls raising trading increments for small caps

July 6 | Fri Jul 6, 2012 10:20am EDT By Olivia Oran (Reuters) – U.S. regulators are considering whether stocks of small companies should be priced in increments of more than a penny, a change that could affect more than two-thirds of listed companies. The Securities and Exchange Commission thought it settled this debate in […]

SEC delays JOBS Act, Startups Reg A versus D 506

Regulation A and Regulation D is heavily different under JOBS Act according to David Drake of LDJ Capital and David Weild, former vice chair of Nasdaq. SEC officially announced it will miss the 90 day deadline to amend the Reg D exemption 506. FOR IMMEDIATE RELEASE PRLog (Press Release) – Jun 29, 2012 – As […]

JOBS Act Establishes New Thresholds for Registration Under the Exchange Act May 9, 2012

[authors: Paul Bork, Dean F. Hanley, and Jason Steinman] On April 5, 2012, the JOBS Act was signed into law, culminating a bipartisan effort by Congress to ease restrictions on capital raising that have affected and guided companies and investors for decades. This alert focuses on the changes effected by the JOBS Act to the […]