Exemption - Securities l Corporate l Business Law

Regulation A+ White Paper – Regulation A+ Lawyers

Overview of the Regulation A+ Exemption On March 25, 2015, The Securities and Exchange Commission (the “SEC”) adopted final rules to implement Section 401 of the Jumpstart Our Business Startups (JOBS) Act by expanding Regulation A into two… Read More

Regulation D and PPM Lawyers – Going Public

A private placement memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum.  PPM’s are used by private companies  in going public transactions and by existing public companies to raise capital by selling either debt… Read More

What is a PPM? Going Public Lawyers

Securities Lawyer 101 Blog A private placement memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum.  PPM’s are used by private companies  in going public transactions and by existing public companies to raise capital… Read More

Form S-1 Registration Statement Attorneys

Securities Lawyer 101 Blog Many private companies file a registration statement filing with the SEC in connection with their going public transaction.  The most commonly used registration statement form is Form S-1. Hamilton & Associates can design the appropriate going public… Read More

Rule 506 Gives Bad Actors The Boot l Going Public Lawyers

Securities Lawyer 101 Blog On July 10, 2013, the Securities and Exchange Commission (the “SEC” or “Commission”) adopted amendments to rules promulgated under Regulation D of the Securities Act of 1933, as amended (the “Securities Act”) to

Ask Securities Lawyer 101 l Form D Q & A

Securities Lawyer 101 Blog Form D Question & Answer The most common exemptions used by companies to sell stock prior to going public are those found in Regulation D of the Securities Act.  Many private companies going public… Read More

Removing the Advertising Ban in Rule 506 Offerings

Securities Lawyer 101 Blog Rule 506(c) of Regulation D, enacted under the Jumpstart Our Business Startups Act (the “JOBS Act”) is intended to help smaller and emerging growth companies raise capital in the U.S. capital markets. The JOBS Act… Read More

SEC Proposes New Rules Regarding General Solicitation and Advertising in Rule 506 Offerings

Securities Lawyer 101 Blog On August 12, 2012, the SEC proposed amendments to Rule 506 of Regulation D of the Securities Act of 1933, as amended (“Regulation D”) that would allow issuers to use general solicitation and advertising… Read More

Accredited Investor Status – Going Public Lawyers

Securities Lawyer 101 Blog Regulation D under the Securities Act of 1933, as amended (the “Securities Act”), sets forth a safe harbor from the registration requirements of the Securities Act for certain private placements of securities. In connection… Read More

What Is The Section 4(1) Exemption? Securities Lawyer 101

Securities Lawyer 101 Blog Rule 144 (“SEC Rule 144”) under the Securities Act of 1933 (“Securities Act”) provides a safe harbor from the registration provisions of the Securities Act for resales of restricted and control securities by persons… Read More