Securities,
Administrative/Regulatory
Dec. 1, 2020
SEC adopts final rules to improve access to capital
On Nov. 2, the SEC adopted final rules to reduce the complexity and “promote capital formation and expand investment opportunities while preserving or improving important investor protections.”
Sara L. Terheggen
Founder and Managing Director
The NBD Group, Inc.
UC Berkeley Boalt Hall
The NBD Group, Inc., a leading legal and business solutions firm. Dr. T has advised on transactions with an aggregate value of more than $110 billion, including more than 20 IPOs, and she has been recognized close to 50 times for her professional expertise and leadership.
It is the most fundamental premise of the Securities Act that all securities offerings must be registered unless a valid offering exemption exists. Throughout the years, the offering exemption framework has evolved and expanded in an effort to facilitate capital raising but that same evolution has created complexity and uncertainty. This has made it difficult for private companies and investors to navigate the murky waters. On Nov. 2, the SEC...
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