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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Investor Relations, Stock Promotion, and Finfluencers: Securities Law Compliance Risks
Investor relations or stock promotion involves the dissemination of information about a public company and is heavily regulated by the SEC. A…
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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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Confidential Registration Statements Q & A – Going Public Lawyers
The confidential submission of a registration statement on Form S-1 allows a company to keep the registration statement confidential.
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SEC Obtains Emergency Asset Freeze Against Kenneth Courtright and TGC
On Wednesday, January 15, 2020, the Chicago Sun Times reported "A federal judge has frozen the assets of Kenneth Courtright, an Illinois…
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How Does Offering Integration Impact Reg A Offerings?
Offering integration can become a problem for some issuers conducting Regulation A+ (also known as Reg A) offerings. The Reg A offering integration rules…
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