Tag Archives: JOBS Act

Senate Committee Considers JOBS Act 3.0… Finally

Last week, The Senate Committee on Banking, Housing, and Urban Affairs held a hearing on more than two dozen bills related to securities markets regulation including JOBS Act 3.0. In July, the House of Representatives passed the “JOBS and Investor Confidence Act of 2018,” also known as the JOBS Act 3.0. The bill passed with 406 “yes” votes and only

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New Association Launched to Help Guide Investment Crowdfunding Industry

Earlier this month, a new association was launched to help guide the investment crowdfunding industry. The investment crowdfunding industry in the United States was launched following the signing of the JOBS Act of 2012. This bi-partisan legislation enabled online platforms to promote securities offerings and heralded a new era of Fintech and opportunity – both for smaller firms in need

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OTC Markets Shares Four Regulatory Initiatives & Targeted Rulemaking for 2018

In a post on the OTC Markets Blog last week, Cass Sanford shared OTC Markets Group’s “2018 Regulatory Initiatives & Targeted Rulemaking.” According to Sanford, “Over the past 20 years, the reputation and recognition of the OTC markets has grown.” That growth has come from technology improvements and from working closely with lawmakers and regulators. In 2018 OTC Markets will focus

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Event On Micro Cap Funding Trends To Be Held In Newport Beach

On February 6th, NIRI Orange County will host an event with two expert panels discussing “Micro Cap Funding Trends: Attracting and Retaining Investors.” Many of Orange County’s most exciting companies of the next ten years are likely to be small today but growing rapidly and looking for funding. One potential funding pool, made possible by the JOBS Act, permits companies to

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FAT Brands Completes $24 million Reg A+ IPO and Lists on NASDAQ

On Monday, FAT Brands (NASDAQ: FAT) rang the NASDAQ opening bell to celebrate its successful Reg A+ IPO. The IPO, which closed on Friday,  raised $24 million through the sale of 2,000,000 shares priced at $12.00 per share, was launched earlier this summer and sought to achieve $20 million. “The demand we’ve seen from the investment community and every day

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OTC Markets CEO Discusses The Model to Help Emerging Companies Gain Access to Capital

Last week, Cromwell Coulson, CEO of OTC Markets Group, joined the CEO Forum to discuss the OTC’s model to help emerging companies gain access to capital. Coulson discusses – OTC did stand for over the counter but now Coulson thinks of it as Open Transparent & Connected. – OTC Markets mission – The advantages and disadvantages of going public – OTC

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US Treasury Report Outlines Ways to Boost Capital Markets

A new report from The US Department of Treasury looks at ways ways the government may streamline and reduce burdens of capital markets regulation. Some ways the Treasury believes lawmakers can boost the capital markets include; – State securities regulators update their regulations to exempt secondary trading of Tier 2 securities from Blue Sky rules or alternatively the SEC preempts

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SEC Chairman Shares Concerns Over Fewer Public Companies with House Committee

In his first hearing before the House Financial Services Committee since he took the helm of the SEC, Jay Clayton (SEC Chairman) discussed the troubling trend of fewer public companies. Clayton said that “without IPOs of growing companies, we have a shrinking and generally more mature portfolio of public companies. This is a significant concern. A shrinking proportion of public

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Center for Capital Markets Releases Letter To Increase Number of Public Companies

The Center for Capital Markets released a letter dated August 22, 2017 addressed to the Treasury Secretary setting out suggestions on how to increase the number of public companies. The suggestions include: Extending the Title I JOBS Act on-ramp accommodations from five to ten years for EGCs and reviewing the EGC definition; Making the JOBS Act accommodations available to all

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What Types of Companies Should Use Regulation A+ To Raise Capital?

Rod Turner, CEO of Manhattan Street Capital (MSC) and regular contributor to Forbes, recently re-posted an article he wrote for Forbes.com in late May. In his post, Turner discusses What Types of Companies Should Use Regulation A+ To Raise Capital. Turner suggests that the following types of businesses would be good candidates to raise capital with Reg A+;   Lifestyle companies

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