10Q - Securities & Going Public Lawyers

New SEC Approves Ease Access to Exhibits in SEC Filings

On March 1, 2017, the SEC voted to adopt rule and form amendments that impact SEC Filings. The SEC’s new rules make it easier to locate and access exhibits in registration statements such as Form S-1 and periodic… Read More

SEC Late Filers 101 – Going Public Attorneys

It’s that time of year again when companies filing reports with the Securities and Exchange Commission (“SEC”) that have a December 31st year end, must file their annual report on Form 10-K. Recent enforcement actions against SEC filers and insiders… Read More

The Going Public Lawyer’s Dictionary

The Going Public Lawyer’s Dictionary was created to assist companies to become familiar with certain terms they will encounter during their going public transaction.  It is crucial that you understand and can speak the going public lingo!

Raising Capital and Going Public Guide 2014

There are two primary sets of federal securities laws that come into play when a company wants to offer and sell its securities and go public. These are the Securities Act of 1933 (“Securities Act”), and the Securities Exchange Act of… Read More

What is Form 10-Q ? l Going Public Lawyer

Publicly traded companies with a class of securities registered under Section 12 or subject to Section 15(d) of the Securities Exchange Act of 1934, as amended (“Exchange Act”), are subject to the SEC’s periodic and current reporting requirements… Read More

Ask Securities Lawyer 101 l Form 12b-25 Q & A

Securities Lawyer 101 Blog Accelerated filers, non-accelerated filers and smaller reporting companies occasionally have difficulty meeting the Securities and Exchange Commission’s (“SEC”) reporting due dates. Rule 12b-25 adopted by the SEC under the Securities Exchange Act of 1934,… Read More

Will Form 12b-25 Extend 10-Q’s Due Date? l Securities Lawyer 101

Securities Lawyer 101 Blog Rule 12b-25 of the Securities Exchange Act of 1934 (the “Exchange Act”) requires SEC reporting companies to provide notice on Form 12b-25 if it is unable to file its report on Form 10-Q within… Read More

Auditor Review of Form 10-Q l Securities Lawyer 101

Securities Lawyer 101 Blog Form 10-Q is used to file quarterly reports under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 (the “Exchange Act”).   Rules 13(a)-13 and 15(d)-13, which require that SEC reporting issuers file… Read More

Form 10-Q Requirements l Securities Lawyer 101 Blog

Securities Lawyer 101 Blog Public companies with a class of securities registered under Section 12 or subject to Section 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), are subject to the periodic and… Read More