March 2012 Archives - Going Public Lawyers

SEC Requires DTC Fairness Procedures l Securities Lawyer 101 Blog

Securities Lawyer 101 Blog On September 24, 2009, the Securities and Exchange Commission (“SEC”) filed a complaint in the United States District Court for the Middle District of Florida alleging that International Power Group (“IPWG”) had issued shares of… Read More

Accredited Investor Status – Going Public Lawyers

Securities Lawyer 101 Blog Regulation D under the Securities Act of 1933, as amended (the “Securities Act”), sets forth a safe harbor from the registration requirements of the Securities Act for certain private placements of securities. In connection… Read More

Can I Remove A Restricted Legend From My Shares? Going Public Lawyers

The Securities Act of 1933, as amended (the “Securities Act”) does not require that issuers place restricted legend (“Restricted Legends” or “Restrictive Legend“) on certificates representing restricted securities.   It has become routine for public companies and private companies seeking… Read More

Rule 144 l The Reverse Merger Blacklist

Securities Lawyer 101 Blog Traditionally, private companies go public by registering an offering under the Securities Act of 1933, as amended (the “Securities Act”).  Another way for private companies to go public is through a Reverse Merger (“Reverse… Read More