December 2014 Archives - Going Public Lawyers

Tips for Going Public With a Direct Public Offering

Direct Public Offering Lawyer – Securities Law Blog More and more issuers going public opt for a direct public offering. In a direct public offering management sells shares of the company’s stock directly to investors, rather than through… Read More

Public Company Disclosure Controls and Procedures

Securities Lawyer 101 Blog To back up the officer and director certifications in periodic reports, issuers must establish and maintain a system of disclosure controls and procedures designed to ensure that the company records, processes, summarizes and discloses on a… Read More

Form 8-K Disclosure of Shareholder Meetings

Companies with a class of securities registered under the Securities Exchange Act of 1934, as amended are required to file periodic reports with the Securities and Exchange Commission (“SEC”).  These reports include annual reports on Form 10-K, quarterly… Read More

What is an Accredited Investor Verification Provider?

“Accredited Crowdfunding” under Rule 506(c) of Regulation D of the Securities Act of 1933, as amended allows an issuer to use general solicitation in connection with its private placement of securities. Rule 506(c) requires the issuer to take… Read More

Crowdfunding for Private Companies – Crowdfunding Lawyers

Sometimes, a company seeking to raise capital may not want to spend the time and expense of an initial public or direct public offering.  In such circumstances, the company should consider an exempt offering. Even though the SEC… Read More

Crowdfunding Platforms to Watch in 2015

It has been more than a year and the SEC has not finalized its rules with respect to equity crowdfunding under the Title III of the JOBS Act which would allow an issuer to raise up to $1… Read More

E-Cigarette Scams – American Heritage International

Securities Lawyer 101 Blog Last week, the Financial Industry Regulatory Agency (“FINRA”) issued an investor alert concerning companies touting new technology for electronic cigarettes, often called e-cigarettes.  The SEC recently announced a trading suspension of American Heritage International… Read More

Overview of Disclosures Drafted by a Going Public Lawyer

Private companies seeking public company status should weigh the benefits and risks before going public. The right going public attorney can help you weigh these risks and avoid many of the pitfalls surrounding going public transactions.  A going… Read More

SEC Actions & Administrative Proceedings

Most public companies realize that the Securities and Exchange Commission (the “SEC”) is a law enforcement agency.  Receiving an SEC subpoena is a new experience for most market participants. SEC Actions can involve a case in federal court or an… Read More

What Is SEC Schedule 14-C? Going Public Lawyers

Securities Lawyer 101 Blog A Schedule 14-C attorney prepares a proxy statement when a public company holds its stockholders’ meeting each year and when the issuer holds special meetings to vote on corporate actions such as name changes and… Read More