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David S. Baxter Pillsbury Winthrop Shaw Pittman LLP

Results 1 to 5 of 7



JOBS Act targets smaller business capital raising *

USA - April 5 2012
On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (JOBS Act), a bill with widespread bipartisan support and assembled from a combination of legislative initiatives introduced throughout 2011 targeting smaller companies and focusing on cheaper capital raising and job creation.

Co-authors: Joseph R. Tiano, Jr., Louis A. Bevilacqua, K. Brian Joe, Ali Panjwani.


Crowdfunding and other recent legislative initiatives focused on capital raising and job creation *

USA - February 7 2012
Legislators have introduced eight different proposals in Congress to make it easier for smaller companies to raise money and lessen the regulatory burden on those companies.

Co-authors: Joseph R. Tiano, Jr., Louis A. Bevilacqua, K. Brian Joe, Ali Panjwani.


The SEC adopts transaction requirements that preserve Form S-3 eligibility for most issuers *

USA - August 2 2011
The Securities and Exchange Commission (SEC) has eliminated the use of investment grade credit ratings as a transaction requirement for short-form registration of securities, instead creating alternative transaction requirements that preserve the use of Form S-3 for most companies that previously relied on their investment grade credit ratings.

Co-authors: Jeffrey J. Delaney, Kimberly E. Moritz, Todd W. Eckland.


SEC's mandate to eliminate credit ratings will cut off short-form registration for some seasoned issuers *

USA - February 23 2011
The Securities and Exchange Commission (SEC) has proposed amendments to its rules that would eliminate the use of investment grade credit ratings as a condition for short-form registration of securities.

Co-authors: Jeffrey J. Delaney, Kimberly E. Moritz, Todd W. Eckland.


FINRA provides FAQs on same day clearance option for shelf offerings *

USA - April 29 2010
Underwriters of accelerated shelf offerings that are not otherwise exempt from filing under Financial Industry Regulatory Authority, Inc. (FINRA) Rule 5110 may obtain Same Day Clearance of their FINRA filings if specific representations are made regarding their accelerated shelf offerings.

Co-authors: Jonathan J. Russo, K. Brian Joe.


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