Form 8A - Going Public Lawyers

Form 8-A and Form 10 Registration Statements

Form 10 and Form 8-A Registration Statements under the Securities Exchange Act Simultaneously or subsequent to the effectiveness of a registration statement under the Securities Act of 1933, as amended (the “Securities Act”) for an initial public offering (IPO) or direct public… Read More

What are SEC Reporting Requirements? SEC Reporting Requirement Compliance

A company becomes subject to SEC reporting requirements by filing  a registration statement on Form 10  or Form 8-A under the Securities Exchange Act. Upon effectiveness, the company  becomes subject to the SEC’s reporting requirements. These SEC reporting requirements… Read More

Regulation A+ Amendment – 2018 Regulation A+ Update

Three years after becoming effective, a Regulation A+ amendment has been approved. Last month, the Economic Growth, Regulatory Relief, and Consumer Protection Act (the “Act”) was signed into law and included notable legislation expanding Regulation A+. The Act directs the… Read More

Regulation A+ Q&A

Regulation A+ expands existing Regulation A. Existing Regulation A provides an existing exemption from registration for smaller issuers of securities. Regulation A+ offerings can be used in combination with direct public offerings and initial public offerings as part of a Going Public Transaction allowing the issuer to avoid the risks… Read More

Disclosure Obligations in Regulation A+ Offerings

The Anti-Fraud Provisions And  Regulation A+  On March 25, 2015, the Securities and Exchange Commission adopted final rules amending Regulation A. The new rules are often referred to as Regulation A+. These rules are designed to facilitate smaller companies’ access to… Read More

Form 10 vs Form 8-A Registration Statements

Simultaneously or subsequent to the effectiveness of a registration statement under the Securities Act of 1933, as amended (the “Securities Act”) for an initial public offering (IPO) or direct public offering (DPO), issuers can file a registration statement under the… Read More

Regulation A+ Q & A – Regulation A+ Lawyers

Regulation A+ Lawyers Explain Regulation A+ With Q&A Series Regulation A+ expands existing Regulation A. Existing Regulation A provides an existing exemption from registration for smaller issuers of securities. Regulation A+ offerings can be used in combination with… Read More

Regulation A+ Forms Published- Securities Lawyer 101

  On June 19, 2015, Regulation A+ became effective.  The new rule imposes certain filing requirements with the Securities and Exchange Commission (SEC). Regulation A+ requires certain offering information be reported on Form 1-Z and it imposes ongoing… Read More

Can I Go Public With an Exchange Act Registration Statement?

Securities Lawyer 101 Blog All public companies whose securities are registered on a national securities exchange, and generally issuers  whose assets exceed $10,000,000 with a class of equity securities held by 500 or more persons, must register a… Read More

SEC Proposes Exchange Act Registration Thresholds

On December 18, 2014, the SEC issued proposals required by the JOBS Act intended to permit non-reporting issuers to delay or avoid becoming SEC reporting companies.  To accomplish this, the Securities Exchange Act of 1934, as amended (the “Exchange Act”) was… Read More