The SEC’s Regulation Crowdfunding temporary rules are intended to expedite the crowdfunding offering process for smaller, previously established companies directly or indirectly…
Read MoreSection 4(a)(7) provides an exemption for private resales from the SEC’s (“SEC”) registration statement requirements if certain conditions are met. One of…
Read MoreSection 4(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”) provides an exemption from the SEC’s registration statement requirements…
Read MoreForm 12b-25 and Rule 12b-25 provide relief for issuers unable to meet SEC reporting requirements on time. Rule 12b-25 grants..
Read MoreSection 16 insiders must file an Annual Statement of Changes in Beneficial Ownership on Form 5 if there are any transactions in…
Read MoreOne requirement of a going public transaction is that the issuer obtain sufficient stockholders to establish a trading market. These initial investors…
Read MoreMany issuers seeking to raise capital often attempt to go public using a reverse merger with a Form 10 public shell company.…
Read MoreIf you use email in your business, you should be aware of the requirements of the CAN-SPAM Act ("CAN-SPAM"). Investor relations providers…
Read MoreRule 506(c) of Regulation D under the Securities Act of 1933, as amended, allows a company to use general solicitation and advertising…
Read MoreRule 506(c) verification of accredited investor status is only required where the issuer engages in general solicitation and/or advertising. The SEC provided…
Read MoreA short sale transaction can be part of a legitimate trading strategy if done legally. Illegal Short selling...
Read MoreU.S. Small Business Administration Offers Funding in Response to COVID-19. The Coronavirus Preparedness and Response Supplemental Appropriations Act (the “Act”), passed with…
Read MoreForm 10 shells are used as inventory for reverse merger transactions that take a company from private to public company status.
Read MoreThe 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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