Public Company SEC Reporting Requirements – Form S-1 Disclosures
Once the SEC staff declares your company’s Securities Act registration statement on Form S-1 effective, the public company becomes subject to the…
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When Private Placements Go Public – Rule 506-c Attorneys
Rule 506 of Regulation D of the Securities Act of 1933 provides a private placement exemption from federal securities registration which is increasingly…
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Accredited Investor Status Under Rule 506(c) l Securities Lawyer 101
Rule 506(c) is the most commonly used exemption of the Regulation D of the Securities Act. Rule 506(c) allows the issuer to…
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What is an Exempt Direct Public Offering? Rule 506(c) Offering Attorneys
An exempt Direct Public Offering can involve a private placement under Rules 506(c) or 504 of Regulation D. The most commonly used…
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SEC Form D Requirements, Regulation D, Notice of Sales
To file a Form D, the Company must obtain Edgar filer codes. Edgar filer codes are obtained by filing a Form ID…
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What is an Accredited Investor? Securities Lawyer 101
Dodd-Frank amended the definition of an “accredited” investor to exclude the value of an investor’s primary residence when determining whether the net…
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Form 10 Registration, Form 10 Effective Date – Securities Lawyer 101
Registration Statements on Form 10 ("Form 10") become effective automatically after 60 days. Form 10 registration covers a class of securities under…
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S-1 Registration Requirements, Filing Form S-1, S-1 Offering, S-1 Lawyers
S-1 Filing Requirements, Filing Form S-1, S-1 Offering, S-1 Lawyers - The process of going public using Form S-1 must be structured…
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Dormant Shell Companies For Reverse Mergers Suspended by the SEC While Delinquent Filers Run Wild
Its object is to render useless and worthless dormant shell companies that might otherwise be hijacked, used in reverse mergers, and ultimately…
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Going Public – Regulation A+ – IPO Alternative
Regulation A contains two exemptions with unique requirements and benefits. Regulation A Tier 1 and Tier 2 allow the issuer to raise…
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Ask Securities Lawyer 101 l Form 12b-25 Q & A
Form 12b-25 provides an extension of public company SEC reporting requirements to certain filers which have difficulty meeting the Securities and Exchange…
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Will Form 12b-25 Extend 10-Q’s Due Date? l Securities Lawyer 101
Form 12b-25 provides the issuer with a 5 day extension within which to file the Form 10-Q or 15 days for a…
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What is a Penny Stock? Securities Lawyer 101
The term "penny stock" refers to a security issued by a company whose shares that trades at less than $5 per share…
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What Is DTC Eligibility? Going Public Attorneys
DTC’s eligibility creates liquidity for companies after a going public transaction. DTC’s Issue Eligibility program allows newly issued securities as well as…
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