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The Securities Edge Securities Blog for Middle-Market Companies

Monthly Archives: July 2013

Removal of ban on general solicitation and advertising won’t be a license for issuers to say anything they want

Posted in Capital Raising

Although the SEC recently finalized rules that will remove the ban on general solicitation and advertising for certain private offerings under Rule 506 of Regulation D, it does not mean that issuers will have free reign and complete discretion over their use of advertisements. That is, issuers looking to locate potential investors through advertising after… Continue Reading

Please consider nominating The Securities Edge for the 7th Annual Blawg 100

Posted in Announcements

Dear Readers, The ABA Journal is soliciting nominations for law blogs to include in their 7th Annual Blawg 100.   Essentially, the American Bar Association puts together a list each year to honor the legal blogs that have the most impact.  If you like what you read on our blog, we are asking you to consider… Continue Reading

By removing ban on general solicitation SEC finally moves the JOBS Act forward

Posted in Capital Raising

The SEC issued Final Rules last week that effectively eliminate the ban on the use of general solicitation and general advertising in connection with certain securities offerings performed under Rule 506 of Regulation D. This is a major shift that will allow issuers to use general solicitation and advertising to promote certain private securities offerings…. Continue Reading

Continued increased enforcement of Foreign Corrupt Practices Act (FCPA) shift toward financial services industry

Posted in SEC Enforcement

The Foreign Corrupt Practices Act (“FCPA”), enacted to deter bribery and other corrupt practices in the conduct of international business, originally claimed jurisdiction over U.S. companies and individuals who used the mail or other instrumentalities of interstate commerce to further a bribe.  A 1998 amendment, however, expanded the FCPA’s jurisdictional reach to include, among others,… Continue Reading