Capital Formation

The U.S. Securities and Exchange Commission (“SEC” and “Commission”) proposed new rules to increase hedge fund and private equity fund disclosures to increase oversight of the industry and to monitor
Continue Reading SEC Proposes More Stringent Rules for Hedge and Private Equity Funds

Fox Rothschild’s Securities Industry Group is pleased to announce its publication of an interactive Survey of State Blue Sky Filing Requirements.   SI Group members, A. Binford Minter and Jennifer M.
Continue Reading Fox Rothschild’s Securities Industry Group’s New Interactive Survey of State Blue Sky Filing Requirements Facilitates Rule 506, Regulation A+ Securities Compliance

The United States Securities and Exchange Commission (“SEC”) adopted amendments to the definitions of both accredited investor under Securities Act of 1933 (“Securities Act”) Regulation D Rule 501 and qualified
Continue Reading SEC Changes Accredited Investor and Qualified Institutional Buyer Definitions

A popular two-tier merger and acquisition structure may trigger certain prohibitions under the Securities Exchange Act of 1934.  In particular, this problem relates to the so-called “Burger King” structure, arising from the private equity

Continue Reading “Burger King” May Not Allow You to Have it Your Way. . . Is the Two-Tier M&A Deal Ending?

The SEC’s Division of Corporation Finance has indicated that lawyers for issuers and issuers themselves should focus on and respond to the SEC’ Staff’s comments during the corporate filing review process.  

Continue Reading Lawyers and Issuers Really Need to Listen to SEC Comments Regarding Cyber Security