Form S3 - Securities & Going Public Lawyers

SEC Issues Form S-3 Registration and Annual Report C&DIs

On November 2, 2016, the Securities and Exchange Commission (“SEC”) Division of Corporation Finance released two new compliance and disclosure interpretations (“C&DIs”) addressing eligibility to use Form S-3 registration statements and submission of annual reports to the SEC…. Read More

What Is a Secondary Registration Statement?

Going public transactions can be structured a variety of ways.  Many going public transactions involve the filing of a secondary registration statement with the Securities and Exchange Commission (“SEC”) registering shares held by existing stockholders so that the issuer can meet… Read More

Can I File a Form S-3 Registration Statement? Going Public Lawyers

Form S-3 is a short-form registration statement that consists primarily of information about the specific transaction.  Only certain eligible issuers can register a securities offering on Form S-3 upon completion of their going public transaction.  Most of the… Read More