August 2014 Archives - Going Public Lawyers

Rule 144’s Current Public Information Requirement

Rule 144 of the Securities Act provides a safe harbor from the registration requirements of the Securities Act of 1933, as amended (the “Securities Act”) for resales of restricted and control securities if specified conditions are met.  One… Read More

What is a Private Placement Memorandum?

A private placement memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum.  PPM’s are used by private companies  in going public transactions and by existing public companies to raise capital by selling either debt… Read More

FINRA Proposes Pilot Program to Widen Tick Sizes

On August 27, 2014, the Securities and Exchange Commission (the “SEC”) announced that the national securities exchanges and the Financial Industry Regulatory Authority (“FINRA”) filed a proposal to establish a national market system plan to implement a 12-month… Read More

Investor Relations Firm Employee Michael Lucarelli Indicted

Securities Law Blog On August 26, 2014, the U.S. Attorney’s Office for the Southern District of New York announced charges against Michael Anthony Dupre Lucarelli. Lucarelli is charged with 13 counts of criminal insider trading over his alleged scheme… Read More

What Are EB-5 Offering Requirements? Going Public Lawyer

Securities Lawyer 101 Blog The EB-5 offering visa program grants foreign investors a green card for themselves and their immediate family in exchange for a capital investment of at least $500,000 in a qualified U.S. business enterprise.  To qualify… Read More

Social Media and Being Publicly Traded

Securities Lawyer 101 Blog Publicly traded companies are increasingly using their company websites and the social media to communicate information to the public.  Investors are increasingly turning to electronic media as a principal source of information about publicly… Read More

Preparing and Filing SEC Form D

Securities Law Blog Regulation D under the Securities Act of 1933, as amended (the “Securities Act”) provides exemptions that permit a company to offer and sell its securities without complying with the registration statement requirements of the Securities… Read More

What is an Exempt Direct Public Offering?

The Direct Public Offering plays an important role in the going public process. Direct Public Offerings provide flexible options for issuers and allow the issuer to structure its going public transactions a variety of ways. Rules adopted pursuant… Read More

Going Public Attorneys Helping Issuers

Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and quantities of regulations with which issuers must become familiar.  Despite… Read More

How Does the JOBS Act Benefit A Foreign Issuer?

Securities Lawyer 101 Blog As the Securities and Exchange Commission (“SEC”) finishes the rule making that provides a structure for full implementation of the JOBS Act, much has been written about its impact on going public transactions and… Read More