Crowdfunding

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Members of the US Securities and Exchange Commission (the “Commission”) continue to share their views about the Commission’s current priorities, and Monday was Acting Chairman Mark Uyeda’s turn.  Speaking at the Florida Bar’s 41st Annual Federal Securities Institute and M&A Conference on February 24, 2025, Acting Chairman Uyeda provided his thoughts on where the Commission…

September 4, 2024
9:00am – 5:00pm ET

Practising Law Insitutue (PLI) will host the 10th Annual Alternative Finance Summit: Fintech, Blockchain, and Crowdfunding program.

Mayer Brown partner Anna Pinedo will participate in a discussion on the “Securities Offering and Private Placement Developments” panel.  

See the event webpage for information on the program and the session.

Introduced under Title III of the JOBS Act, Regulation Crowdfunding (“Regulation CF”) was promulgated to allow startups and emerging companies to raise capital from a wider pool of investors through equity crowdfunding platforms.  Regulation Crowdfunding allows non-accredited investors to invest through these platforms.  Currently, a company may raise up to $5 million in a 12-month…

September 26, 2023 Webinar
9:00 a.m. EDT
Register here.

Alternative finance continues to drive significant engagement with the investment community. But it also raises many more questions than answers about what the future holds for fintech, blockchain and crowdfunding. The Practising Law Insitutue (PLI) will host this program where leading industry lawyers, dealmakers, and…

On September 9, 2022, the Securities and Exchange Commission announced amendments to its rules in order to implement inflation adjustments mandated by the JOBS Act.  The SEC’s amendments increase the annual gross revenue threshold for emerging growth companies and raise certain dollar amounts contained in Regulation Crowdfunding.  Pursuant to the JOBS Act, the SEC is…

The US Securities and Exchange Commission’s (“SEC”) Small Business Capital Formation Advisory Committee (the “Committee”) released the agenda for its virtual meeting, to be held on Tuesday, August 2, 2022, and which plans to address liquidity challenges for investors in exempt offerings. The agenda specifically plans to address exit opportunities for investors in Regulation A…

FINRA adds new topics for 2022 and new material to previously covered topics.

On February 9, 2022, the Financial Industry Regulatory Authority, Inc. (“FINRA”) published its 2022 Report on FINRA’s Examination and Risk Monitoring Program (the “Report”). FINRA intends for the Report to be an up-to-date, evolving resource for firms that may help inform their…

September 2, 2021 Webinar
Register here.

Mayer Brown’s 15th Annual Investment Management Regulatory University is hosting a discussion of regulatory hot topics. Please join partners Stephanie Monaco, Tim Clark, Erin Cho and Christina Thomas as they discuss:

  • Investment Advisers Act Update—Glimpses of New Marketing Rule and Division of Examinations Risk and Guidance
  • Private Funds

…

The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation recently delivered its annual report for FY2020 to the Committee on Banking, Housing and Urban Affairs of the US Senate and the Committee on Financial Services of the US House of Representatives, as required under the Securities Exchange Act.  The report…

The Securities and Exchange Commission has announced an open meeting on November 2, 2020 to consider amendments relating to the exempt offering framework.  The SEC had released proposed amendments for public comment in March 2020, which were well-received, and included proposed simplifications to the integration framework, as well as modifications to the offering thresholds for…