Capital Formation Strategies: Understanding the Difference Between Venture Capital and Private Equity
For companies and entrepreneurs looking into raising capital, the terms used to delineate classes of investors can be confusing—particularly when they are misused or misunderstood by the media or the public at large. For example, private equity and...
Recent Proposed Regulations for 1031 Tax Exchanges
Section 1031 tax exchanges are a critical tax planning tool used by investors to help defer taxes that would otherwise be incurred on gains from a real estate transaction. In June, the U.S. Department of the Treasury issued a series of proposed...
SEC Proposal Could Provide New Exemptions for ‘Finders’
The Securities and Exchange Commission has proposed loosening the restrictions on finders —people who, for a fee, introduce potential investors to securities issuers— in a move that could have a significant impact on capital formation strategies...
Regulation Best Interest Sets a New Bar for Broker Dealers
The COVID-19 pandemic may have put a damper on business activity this summer, but it didn’t motivate the U.S. Securities and Exchange Commission to delay the June 30th compliance deadline for Regulation Best Interest. SEC Regulation Best Interest,...
Becoming an Emerging Growth Company: A Tool for Reducing the Burdens of an IPO
“Emerging growth company” is sometimes used generically in the business community and media to describe an early-stage company–usually in a startup-heavy sector like technology or life sciences. Yet an emerging growth company, or EGC, is actually a...
Five years on, Regulation A+ continues to evolve
It's been five years since the U.S. Securities and Exchange Commission adopted the final rules that expanded exempt offerings via Regulation A. So it’s worth reviewing changes that have occurred in the intervening years and the opportunities that...