Rule 15c2-11 Compliance Deadline Is Just Around the Corner
In September of last year, the Securities and Exchange Commission (the “SEC”) adopted amendments to Securities Exchange Act Rule 15c2-11. In early 2020, we…
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Going Public: Myths and Misinformation about Reverse Mergers
Myths and misinformation: The truth behind reverse mergers. What is really the best way to go public? Direct Public Offering vs Reverse…
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SEC Amends Rule 15c2-11, Form 211 Amendments
On September 16, 2020, SEC amended Exchange Act Rule 15c2-11 and Form 211. Changes to Rule 15c2-11 were proposed last year. The OTC…
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SEC Amends Regulation S-K Item 101, 103 and 105
On August 26, 2020, the United States Securities and Exchange Commission (the “SEC”) finalized its proposed rule amending the disclosure requirements under…
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What Is a Seed Stockholder? Going Public Lawyers
One requirement of a going public transaction is that the issuer obtain sufficient stockholders to establish a trading market. These initial investors…
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CAN-SPAM Issuers and Investor Relations – Securities Lawyer 101
If you use email in your business, you should be aware of the requirements of the CAN-SPAM Act ("CAN-SPAM"). Investor relations providers…
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Confidential Registration Statements Q & A – Going Public Lawyers
The confidential submission of a registration statement on Form S-1 allows a company to keep the registration statement confidential.
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What is Form 10 Information? Going Public Attorneys
A Form 10 registration status can cure public shell company status and has been used by many companies after reverse mergers. Rule…
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Accredited Crowdfunding With Rule 506(c) – Going Public Attorneys
Private placement offerings under Rule 506(c) of Regulation D of the Securities Act of 1933, as amended (“Securities Act”) are a cost-effective…
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Confidential Submission of Draft SEC Registration Statements
Confidential registration statements are often filed on Form S-1 as part of a going public transaction.
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SEC Comments – Form S-1 – Going Public Lawyers
Issuers who offer and sell securities or file an S-1 Registration Statement for selling shareholders in connection with a going public transaction…
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Regulation A+ Q & A – Regulation A+ Going Public Lawyers
Regulation A provides an exemption from registration that can be used in conjunction with a going public transaction. Regulation A has two…
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Our Comment to the SEC Regarding Rule 211 (15c2-11) – Sponsoring Market Makers
Blue Sky, Form 211, Regulation A, Regulation A Secondary Sales, Regulation A Tier 2, Regulation A+. Tier 1, Reporting Company, Rule 15c2-11,…
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Filing a Form S-1 Registration Statement? Going Public Lawyers
All companies going public should consider Form S-1 registration statement filing requirements when contemplating their securities offering. Form S-1 provides flexibility.
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Will Going Public Help Me Raise Capital? Going Public Attorneys
Going public is frequently used as a stepping stone by companies seeking to raise capital.
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Going Public – Regulation A+ – IPO Alternative
Regulation A contains two exemptions with unique requirements and benefits. Regulation A Tier 1 and Tier 2 allow the issuer to raise…
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