The Regulation A amendments adopted by the Securities Exchange Commission on March 25 are Federal Registerbeing published tomorrow, April 20, in the Federal Register.  That means the final rules and form amendments will officially become effective on June 19, 2015 (by rule, 60 days after such publication).

The new Regulation A, referred to widely as

My partner Steve Melore and I braved the latest New York snow storm to attend the Small Business Investor Alliance’s Northeast Private Equity Conference on January 22, of which Farrell Fritz was a sponsor.  The SBIA is the leading professional organization for lower middle-market investment funds and the LPs that invest in them.

The

On January 2, 2014, the Financial Industry Regulatory Authority (“FINRA”) published its annual priorities letter for 2014, chief among which will be IPOs, general solicitation in private offerings, crowdfunding portals and microcap fraud.

IPOs

In the area of IPOs, FINRA intends to focus on “spinning,” a practice in which an underwriter allocates “hot” IPO shares

In a massive 585 page release, the Securities Exchange Commission on October 23 issued its long overdue proposed rules on equity crowdfunding to implement the statutory equity crowdfunding exemption set forth in Title III of the JOBS Act.  As proposed, Regulation Crowdfunding implements and further clarifies the statutory requirements for equity crowdfunding, and in