Private Offerings Archives

All Things Digital, Private Markets Highlighted at SEC Speaks Conference

SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.

October 15, 2021

Tags: FinTech, Allison Herren Lee, Caroline Crenshaw, Digital Assets, Elad Roisman, Gary Gensler, Hester Peirce, Private Offerings, Rick Fleming, SEC Enforcement, SEC Investor Advocate

SEC’s AMAC Tackles Diversity and ESG, Explores Retail Access to Private Investments, Advisers’ Use of Technology

SEC’s AMAC Tackles Diversity and ESG, Explores Retail Access to Private Investments, Advisers’ Use of Technology July 12, 2021 In a lengthy open meeting on July 7, the SEC’s...

July 12, 2021

Tags: AMAC, Diversity & Inclusion, ESG, Private Offerings, Technology

SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms

SEC’s Lee Tackles Climate & ESG Disclosure, Data Collection, Private Market Reforms May 25, 2021 SEC Commissioner Allison Herren Lee continued to lay out her views on climate- and...

May 25, 2021

Tags: Accredited Investor, Allison Herren Lee, Climate, ESG, Private Offerings

SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress

SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules January 13, 2021 ...

January 13, 2021

Tags: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate

SEC’s AMAC Discusses COVID-19 Impact, Outlines ESG, Private Investment Work Streams

SEC’s AMAC Discusses COVID-19 Impact, Outlines ESG, Private Investment Work Streams May 29, 2020 In its second meeting since its formation, the SEC’s Asset Management Advisory Committee (AMAC) met...

May 29, 2020

Tags: Money Market Funds, AMAC, Coronavirus, COVID-19, Dalia Blass, Electronic Delivery, ESG, ETFs, Jay Clayton, Private Funds, Private Offerings

SEC Proposes Exemptions from B-D Registration for Certain “Finders” of Issuers of Private Offerings

SEC Proposes Exemptions from B-D Registration for Certain “Finders” of Issuers of Private Offerings Transaction-Based Compensation from Issuer to Finder Permitted under Specific Conditions October 26, 2020 In an...

October 26, 2020

Tags: Reg D, Private Offerings, Solicitation Rule

SEC Proposes Amendments to Private Offering Rules To Increase Investor Opportunities, Expand Access to Capital

SEC Proposes Amendments to Private Offering Rules To Increase Investor Opportunities, Expand Access to Capital March 23, 2020 The SEC has voted to propose amendments to simplify, harmonize, and...

March 23, 2020

Tags: Reg D, Private Offerings

IAA Urges SEC to Expand, Simplify Access to Exempt Offerings

IAA Urges SEC to Expand, Simplify Access to Exempt Offerings June 3, 2020 The IAA is calling on the SEC to expand access to the private markets and make...

June 03, 2020

Tags: Accredited Investor, Exempt Offerings, Private Offerings, QIB

New SEC Action Will Make it Easier for Issuers to Conduct Private Offerings

New SEC Action Will Make it Easier for Issuers to Conduct Private Offerings November 11, 2020 In a 3-2 vote, the SEC has significantly amended its exempt offering rules...

November 11, 2020

Tags: Private Funds, Private Offerings

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