Category Archives: Securities

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The Tokyo Stock Exchange: Gateway to the Asian Market

Introduction While many people in the global business community know that Japan is the world’s third largest economy, it is not as well known that Japan is also home to the world’s third largest stock exchange, the Tokyo Stock Exchange (TSE). The TSE’s popularity is due in part to its high liquidity, with an average … Continue Reading

Greenberg Traurig to Sponsor Two Major Israel Event

Greenberg Traurig will be sponsoring two major Israel events this coming week. The first is the OurCrowd Global Investor Summit (January 25-26), set to bring together 3,000 investors and companies from 50 different countries. Shareholder and Israel Practice Co-Chair, Bob Grossman will be speaking at the opening planery. Israel Practice Co-Chairan, Tel-Aviv Managing Shareholder, and Global Corporate & Securities Practice Senior … Continue Reading

SEC Adopts Regulation Crowdfunding to Facilitate Early Capital Raises

The U.S. regulators have long been considering ways to make it easier for early-stage startup companies to raise capital in a more flexible and less cumbersome method.  The SEC has finally published regulations providing emerging companies with access to U.S. “crowd” investors making smaller investments.  Although the new regulations are perhaps less of a radical … Continue Reading

What Every Fund Manager Wants to Know about the ECI Rules (But is Afraid to Ask)

Things can go cataclysmically wrong for offshore fund managers investing in the United States in the most unexpected manner, at the most unexpected time. A complete list of potential fund-manager tsuris is beyond the scope of this Alert. However, one issue that routinely keeps fund managers awake at night is the specter of their funds’ … Continue Reading

U.S. District Court Vacates SEC Rule on Extractive Industries Disclosure Requirements; Issuers Await Decision on Conflict Minerals Rule

Rule 13q-1 under the Securities Exchange Act of 1934, adopted by the SEC in August 2012 as part of the Dodd‐Frank mandate, was vacated by the U.S. District Court for the District of Columbia on July 2nd, 2013. The rule, which imposed annual reporting requirements on “resource extraction issuers” relating to payments made to a … Continue Reading

SEC Lifts Ban on General Solicitation in Certain Private Securities Transactions

On July 10, 2013, the Securities and Exchange Commission (SEC) adopted rule amendments that eliminate the 80-year old prohibition on general solicitation and general advertising in Rule 506 and Rule 144A transactions under the Securities Act of 1933, as amended (Securities Act), and prohibit issuers from reliance on Rule 506 for any offering in which … Continue Reading
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