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Mini-IPOs

More positive Regulation A news

The SEC recently published a series of new Compliance and Disclosure Interpretations related to the newly revised Regulation A. One important development could make Reg A+ that much more useful for companies for mergers & acquisitions and capital-raising purposes.

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Reg A+ goes live

‘A-Day’ has finally arrived: Reg A+ goes into effect

On June 19, Reg A+ (as the SEC’s revised Regulation A is known) went into effect. The main benefits of Reg A+ include:

  • Companies can raise up to $50 million every 12 months
  • Insiders can sell their shares in a Reg A+ offering
  • Investors in a Reg A+ offering have immediate liquidity; they can sell their shares once the offering is completed and don’t have to hold them for a period of time
  • Some Reg A+ offerings are exempt from state securities or “blue sky” laws
  • Some Reg A+ offerings are easier to list on an exchange

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Crowdfunding’s dark side

First crowdfunding fraud enforcement actionFirst crowdfunding fraud enforcement action

The first enforcement action involving a crowdfunding project is instructive because it highlights the significant risks inherent in the crowdfunding process.

Although the FTC took the lead in this matter, I would look for the SEC to step into the primary enforcement role when the JOBS Act equity crowdfunding rules become effective.

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Bob’s Upticks


Timely news and comments on securities and corporate governance developments.

Warren vs. SEC

Unless you’ve been off the grid, you’ve surely read about the kerfuffle between Senator Elizabeth Warren and SEC Chair Mary Jo White.

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This publication is for general information only. It is not legal advice, and legal counsel should be contacted before any action is taken that might be influenced by this publication.

About Gunster

Gunster, Florida’s law firm for business, provides full-service legal counsel to leading organizations and individuals from its 13 offices statewide. Established in 1925, the firm has expanded, diversified and evolved, but always with a singular focus: Florida and its clients’ stake in it. A magnet for business-savvy attorneys who embrace collaboration for the greatest advantage of clients, Gunster’s growth has not been at the expense of personalized service but because of it. The firm serves clients from its offices in Boca Raton, Fort Lauderdale, Jacksonville, Miami, Naples, Orlando, Palm Beach, Stuart, Tallahassee, Tampa Bayshore, Tampa Downtown, Vero Beach, and its headquarters in West Palm Beach. With more than 280 attorneys and consultants, and over 290 committed professional staff, Gunster is ranked among the National Law Journal’s list of the 500 largest law firms and has been recognized as one of the Top 100 Diverse Law Firms by Law360. More information about its practice areas, offices and insider’s view newsletters is available at www.gunster.com.

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