Form S1 Lawyer - 4/4 - Securities & Going Public Lawyers

Direct Public Offering Attorneys

Direct Public Offering Attorneys

One of the most efficient ways to achieve public company status is by using a Direct Public Offering.  We will assist you with your Direct Public Offering using a registration statement. Direct Public Offerings can be structured a variety… Read More

How Regulation M Impacts Securities Offerings – Going Public Lawyers

Securities Lawyer 101 Blog Recently, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued guidance concerning Rule 105 (“Rule 105”) of Regulation M of the Securities Exchange Act of 1934, as amended. Rule 105 prohibits the purchase… Read More

Smooth Sailing For General Solicitation Under Rule 506(c)

Rule 506(c) fundamentally changes how private placements will be conducted, by allowing issuers to engage in general solicitation and advertising if they comply with the Rule’s specific requirements. The advantages offered by Rule 506(c) are significant for issuers who comply with its inflexible… Read More

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

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