Update August 1, 2017: The Financial Services Committee approved this bill on July 25, 2017 in a rare 59-0 vote. it now heads to the full House of Representatives. The House Financial Services Committee is considering a bill that would permit full SEC reporting companies to...

The Jumpstart Our Business Startups (JOBS) Act of 2012 ushered in a very popular alternative for "emerging growth companies" going public and those utilizing Regulation A+: confidential submission to the SEC of your initial planned registration or offering statement. Unfortunately, companies not considered EGCs or...

What a month this has been for those of us involved with the Reg A+ movement going back all the way to 2010. Although dozens of Reg A+ deals, raising hundreds of millions of dollars, had closed before this month, virtually none were trading their...

01 Apr

Believe it or not the Jumpstart Our Business Startups (JOBS) Act was signed into law on April 5, 2012. A great example of how the legislators, working with an administrative agency, can bring meaningful and substantive positive change. Enacted in the heat of a Congressional...

28 Dec

Following up on positive statements by senior SEC staffers at the recent PLI Securities Law seminar and the SEC small business forum in November, the Commission also recently issued a white paper on how things are going under updated Regulation A, now known as Regulation...

12 Dec

Here's a free one for my investor and venture capital friends. More and more serious players are lining up to get ready for IPOs under the new Regulation A+. We are about to see companies go public through Reg A+ directly onto national exchanges. Noted...

20 Nov

I was honored Thursday to speak on a panel at the SEC's annual small business capital formation forum. I also co-moderated a breakout session developing recommendations to improve regulation of smaller reporting companies. My talk on the panel provided an update on Regulation A+ and...