Direct Public Offerings in 2025
A Direct Public Offering (DPO) is an effective method for going public. Private companies may also raise capital by selling securities directly…
Read More
Navigating Corporate Governance: Requirements for Nasdaq and NYSE Companies
If you're eyeing a listing on the New York Stock Exchange (NYSE) or Nasdaq Stock Market (Nasdaq), you'll need to align your…
Read More
Navigating SEC Disclosures: Director and Executive Officer Information
Item 401 of Regulation S-K requires that companies make certain disclosures about their directors, executive officers, and nominees. This information helps shareholders…
Read More
Understanding Form S-3: A Guide to Securities Registration
Form S-3 is a concise filing option that enables issuers to register a range of securities, such as common and preferred stocks,…
Read More
SEC Staff Gears Up to Absorb PCAOB Duties if It’s Abolished
The Securities and Exchange Commission (SEC) is mapping out plans to take over the functions of the Public Company Accounting Oversight Board…
Read More
What is an Affiliate under SEC Rules?
Assessing affiliate status is a nuanced but crucial exercise for public companies, affecting everything from Rule 144 sales to registration eligibility and…
Read More