The Section 4(a)(2) Exemption – Exempt Offerings
Section 4(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”) provides an exemption from the SEC’s registration statement requirements…
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Rule 12b-25 Q & A – SEC Reporting Requirements
Form 12b-25 and Rule 12b-25 provide relief for issuers unable to meet SEC reporting requirements on time. Rule 12b-25 grants..
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What Is SEC Form 5 – SEC Reporting Requirements- Securities Lawyer 101
Section 16 insiders must file an Annual Statement of Changes in Beneficial Ownership on Form 5 if there are any transactions in…
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What Is a Seed Stockholder? Going Public Lawyers
One requirement of a going public transaction is that the issuer obtain sufficient stockholders to establish a trading market. These initial investors…
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Why Form 10 Shells Are High Risk – Form 10 Reverse Mergers
Many issuers seeking to raise capital often attempt to go public using a reverse merger with a Form 10 public shell company.…
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CAN-SPAM Issuers and Investor Relations – Securities Lawyer 101
If you use email in your business, you should be aware of the requirements of the CAN-SPAM Act ("CAN-SPAM"). Investor relations providers…
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Rule 506-c Accredited Investor Offerings, Regulation D Securities Lawyers
Rule 506(c) of Regulation D under the Securities Act of 1933, as amended, allows a company to use general solicitation and advertising…
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What is Accredited Investor Verification? Going Public Lawyers
Rule 506(c) verification of accredited investor status is only required where the issuer engages in general solicitation and/or advertising. The SEC provided…
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Short Sale – Q & A – Short Seller Rules – Regulation SHO Lawyers
A short sale transaction can be part of a legitimate trading strategy if done legally. Illegal Short selling...
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SBA Offers Small Business Loans in Response to Coronavirus – COVID-19
U.S. Small Business Administration Offers Funding in Response to COVID-19. The Coronavirus Preparedness and Response Supplemental Appropriations Act (the “Act”), passed with…
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What Is A Form 10 Registration Statement? Form 10 Securities Lawyers
Form 10 shells are used as inventory for reverse merger transactions that take a company from private to public company status.
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CBD Oil for Pain: FDA Approves Over-the-Counter Cannabidiol Topical
The FDA recently approved an opioid-free pain-relieving cream from Honest Globe, a plant-based wellness company specializing in alternative health care. This over-the-counter…
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