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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OTCQX Listing and Eligibility – OTC Markets Lawyer
OTC Markets Group Inc. operates the OTCQX® Best Market, the OTCQB® Venture Market, and the Pink® Open Market for 11,606 U.S. and…
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What is a SPAC?
SPACs, which stand for special purpose acquisition companies, are similar to blank check companies. The SPAC does an Initial Public Offering (an…
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SEC Amends Regulation A, Crowdfunding and Rule 504 Securities Exemptions
The SEC adopted amendments to: (1) establish a new integration framework for issuers to move from one securities offering exemption to another;…
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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 SEC Trading Suspension? Securities Lawyer 101
SEC trading suspensions often leave investors in the dark. While SEC trading suspensions may be intended to prevent investor losses, the opposite…
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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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What Is A Form 10 Registration Statement? Form 10 Securities Lawyers
Form 10 shells are used as inventory for reverse merger transactions that take a company from private to public company status.
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Blue Sky Laws and Secondary Trading and Resales in Regulation A Offerings
There are two offering tiers, Tier 1 and Tier 2 in Regulation A+ and each is treated differently under both SEC and…
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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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Practical Considerations in Regulation A+ Offerings
Regulation A offers an alternative to the traditional methods of filing a Registration Statement on Form S-1 or Form F-1 to raise…
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Form S-1 Registration, Filing and Requirements, Form S-1 and Going Public Lawyers
Form S-1 provides flexibility in going public transactions. It allows the issuer to register shares during the going public process on behalf…
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