October 2012 Archives - Going Public Lawyers

The SEC Registration Statement Process- Going Public

Securities Lawyer 101 Blog SEC Review & Comment Process The Securities and Exchange Commission (the “SEC”) oversees the securities laws and is the key regulator of securities offerings and the registration statement process.  The SEC regulates securities professionals… Read More

Filing Requirements for Publicly Traded Companies-Go Public

Securities Lawyer 101 Blog An issuer with a class of securities registered under Section 12 or subject to Section 15(d) of the Securities Exchange Act of 1934  must file periodic reports with the Securities and Exchange Commission pursuant… Read More

What Are Form D’s Requirements? Going Public Lawyers

Securities Lawyer 101 Blog The most common exemptions used by  companies to sell stock prior to going public are those promulgated under Section 4(2) of the Securities Act and Regulation D of the Securities Act. Many issuers who go… Read More

Rule 504 Q & A l Securities Lawyer 101

What Is Rule 504? Rule 504 of Regulation D is an exemption from the registration requirements of the Securities Act of 1933, as amended (the “1933 Act”) for certain companies when they offer and sell securities. How Much… Read More