Category Corporate Finance & Securities Law

Raising Capital Via Rule 504

In general, every security offering in the United States is required to be registered with the Securities and Exchange Commission (“SEC”) and applicable state securities regulators unless the offering qualifies for an exemption from registration under both federal and state laws and regulations. It is important for companies to qualify for... Read More

SEC Considers Rule Changes Involving Investments in Private Companies

The Wall Street Journal recently reported that the Securities and Exchange Commission (SEC) is considering rule changes that would make it easier for individuals to invest in private companies such as Uber and Airbnb. Generally, certain wealth or income standards must be met before an individual is able to invest in private companies. One way for... Read More

Getting to Know You (and Your Investors): Regulation D Disclosures and Investor Limitations

Many startups and small businesses get to a point where they determine the best way to raise capital is to bring in an outside investor through a securities offering. Depending on the amount of disclosures you are willing to make to your potential investors and the amount of money you need to raise, both federal and state laws and regulations... Read More

It's Tax Day and a New Iowa Law Will Govern Shareholder Access to Corporate Financial Records

Check out BrownWinick attorney Matt McKinney's latest blog post, It's Tax Day and a New Iowa Law Will Govern Shareholder Access to Corporate Financial Records, featured in the Business Record's IowaBiz Blog. Read more IowaBiz Blogs at www.iowabiz.com. Read More

SEC Adopts New Regulations Which Improve Access to the Capital Markets

On July 10, 2013, the United States Securities and Exchange Commission ("SEC") adopted final regulations to implement a much anticipated provision of the 2012 JOBS Act. The JOBS Act, passed in April 2012, directed the SEC to allow general solicitation and general advertising in certain unregistered securities offerings. Allowing general... Read More