Form S1 Attorney - 6/6 - Going Public Lawyers

Uses and Abuses of the Section 3a 10 Exemption

Secuities Lawyer 101 Blog Section 3a 10 of the Securities Act of 1933, as amended (the “Securities Act”) exempts the offer and sale of securities in certain exchange transactions from the registration statement requirements. In SEC Legal Bulletin 3A, the Securities… Read More

A New Crowdfunding Watchdog in Massachusetts

Securities Lawyer 101 Blog Consumer watchdogs and the Securities and Exchange Commission (“SEC”) as well are aware that certain provisions of the new Rule 506 created in connection with the JOBS Act could encourage fraud if not effectively… 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

Does Rule 6490 Impact Going Public Transactions?

Securities Lawyer 101 Blog Smooth Sailing for Companies Avoiding Reverse Mergers in their Going Public Transactions FINRA Rule 6490, has evolved since it was enacted over two years ago. For some time, FINRA has required that issuers provide expansive disclosures… Read More

Rule 144 For OTC Pink Companies – Going Public Lawyers

Securities Lawyer 101 Blog The Securities Act of 1933, as amended (the “Securities Act”) requires the offer and sale of a security be subject to an effective registration statement under the Securities Act, unless the security or transaction… Read More

What Is Section 16 Reporting? Securities Lawyer 101

Securities Lawyer 101 Blog Section 16(a) of the Exchange Act of 1934 (the “Exchange Act”) requires the reporting of beneficial ownership by the officers, directors and stockholders who hold stock directly or indirectly, beneficially owning more than 10% of… 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