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Results: 1-10 of 12

As SEC rules languish, states step up the initiative on equity crowdfunding

  • Calfee Halter & Griswold LLP
  • -
  • USA
  • -
  • November 5 2014

On October 1, 2014, and October 22, 2014, respectively, Washington and Texas joined the increasing number of states that are establishing a mechanism

FINRA proposes to create “limited corporate financing brokers”

  • Calfee Halter & Griswold LLP
  • -
  • USA
  • -
  • March 11 2014

FINRA -- The Financial Industry Regulatory Authority -- has announced a rulemaking initiative aimed at the creation of a new class of FINRA registered

SEC guidance on private company mergers & acquisition unregistered “broker” activity sheds new light on the scope of permissible intermediary roles

  • Calfee Halter & Griswold LLP
  • -
  • USA
  • -
  • February 10 2014

There has long been substantial uncertainty about whether the services provided by business brokers and similar M&A advisors may trigger

Sixth Circuit U.S. Court of Appeals upholds “big boy” agreement by sophisticated investor to bar fraud claim

  • Calfee Halter & Griswold LLP
  • -
  • USA
  • -
  • October 29 2013

On October 23, 2013, the United States Court of Appeals for the Sixth Circuit summarily concluded that a "big boy" letter agreement signed by a

New federal legislation would scale federal securities regulation of mergers and acquisition intermediaries in smaller private company transactions

  • Calfee Halter & Griswold LLP
  • -
  • USA
  • -
  • June 25 2013

Mergers and acquisitions firms (M&A firms) face uncertainty in carrying out their engagements as intermediaries in transactions involving the actual

SEC issues proposed rules to lift ban on general solicitation and advertising in private securities offerings

  • Calfee Halter & Griswold LLP
  • -
  • USA
  • -
  • August 30 2012

On August 29, 2012, the U.S. Securities and Exchange Commission (SEC) published proposed rules that would eliminate the ban on general solicitation and advertising for securities offerings made to qualifying investors pursuant to SEC Rule 506 under the Securities Act of 1933

The practical side of crowdfunding

  • Calfee Halter & Griswold LLP
  • -
  • USA
  • -
  • April 19 2012

The Jumpstart Our Business Startups (JOBS) Act has become law and makes several significant additions or amendments to the federal securities laws which, when fully implemented by Securities and Exchange Commission rules, will improve access to public and private capital markets

Dodd-Frank requires private equity fund advisers relying on new “private adviser” exemption to file Form ADV by February 14, 2012

  • Calfee Halter & Griswold LLP
  • -
  • USA
  • -
  • October 28 2011

On June 22, 2011, the Securities and Exchange Commission (SEC) adopted final rules implementing the portion of Dodd-Frank that requires advisers to private equity funds to register with the SEC

Proposed jobs bill includes proposal to increase tax rate on carried interest earned by private equity fund managers

  • Calfee Halter & Griswold LLP
  • -
  • USA
  • -
  • September 13 2011

On September 12, 2011, President Obama introduced measures to pay for his recently proposed “American Jobs Act.”

Potential Dodd-Frank legislative and regulatory relief for private equity; SEC adopts Calfee comment

  • Calfee Halter & Griswold LLP
  • -
  • USA
  • -
  • May 19 2011

Last week in the U.S. House of Representatives, the Capital Markets Subcommittee of the Financial Services Committee passed a bill introduced by Rep. Robert Hurt (R-Virginia) to exempt private equity fund managers from the registration requirements of the Investment Advisers Act of 1940