Dilution Funders and Dilution Financings Challenged by SEC We recently wrote about two interesting SEC enforcement actions that examine the question of whether the individuals and entities that purchase convertible promissory notes from public companies are “dealers” according… Read More
Foreign Private Issuers that are subject to the reporting requirements of the Securities Exchange Act of 1934, as amended, (the “Exchange Act), must provide periodic reports to the Securities & Exchange Commission. These include an annual report on Form 20-F… Read More
Our readers have spoken – Securities Lawyer 101 written by Brenda Hamilton, a securities and going public lawyer has been selected to compete in The Expert Institute’s Best Legal Blog Competition. From a field of more than 2,000 potential nominees,… Read More
Securities Lawyer 101 Blog BOCA RATON, Fla., March 21, 2014 /PRNewswire/ — Due to the fundamental changes in 2013 that continue to shape the new Securities landscape for capital raising and going public on the OTC Markets OTC Pinks, Hamilton… Read More
The use of social media is a growing concern with new exemptions that allow issuers to engage in general solicitation and advertising of their unregistered offerings. The Securities and Exchange Commission has made its position on the use of social… Read More
