This year’s SEC small business capital forum in Washington, D.C. will address the “most sweeping changes to the emerging growth capital market in 80 years.” For our readers in the area, please join Morrison & Foerster on November 19th for an afternoon of pre-forum briefings on the state of legislation, regulation and policy implementation impacting

Download a free copy of our recently updated JOBS Act book.

The updated book discusses emerging practices in IPOs by emerging growth companies, the SEC’s final Rule 506 rules and investor verification and other developments.

You also may email us to obtain hard copies.  Send an email to Harrison Lawrence at hlawrence@mofo.com.

The SEC’s Division of Investment Management summarized its activities in 2013, highlighting its intensified rulemaking program, efforts to identify new and emerging risks and its disclosure initiatives. The Division also took the opportunity to discuss its agenda for 2014.

In the March 2014 edition of its Information Update, the Division describes its rulemaking accomplishments

Morrison & Foerster partners, Ze’-ev D. Eiger and Daniel A. Nathan, presented West LegalEdCenter’s Webcast, “FINRA Actions and the Due Diligence Obligations of Broker-Dealers in Private Placements,” on October 29, 2013 at 1:00 p.m. EST.

This one hour session focused on the due diligence obligations of broker-dealers in private placements amidst increased scrutiny from