Roadmap for a Successful Direct Public Offering
Preparing for a direct public offering or an initial public offering ("IPO") or takes both a commitment of time and money. Unlike an Initial Public Offering,…
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Regulation D Rule 504, Rule 506(b), Rule 506(c) Offering Exemptions
Securities offerings must be registered with the Securities and Exchange Commission (“SEC”) or exempt from registration. Private placements are unregistered, non-public securities…
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SEC Amends Accredited Investor Definition – Rule 506 Offerings
Rule 506 Offerings are the most common of the Regulation D exemptions from registration under the Securities Act of 1933, as amended…
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Regulation CF Crowdfunding and SEC Reporting After the Offering
After an issuer completes a Regulation CF crowdfunding offering, it must comply with certain ongoing reporting obligations. Unlike public company SEC reporting…
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Expedited Regulation Crowdfunding Offering Rules For Coronavirus Impacted Issuers
The SEC’s Regulation Crowdfunding temporary rules are intended to expedite the crowdfunding offering process for smaller, previously established companies directly or indirectly…
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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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What is Accredited Investor Verification? Going Public Lawyers
Rule 506(c) verification of accredited investor status is only required where the issuer engages in general solicitation and/or advertising. The SEC provided…
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Regulation A Testing the Waters – Securities Lawyer 101
Once you publicly file your Form 1-A offering statement, the solicitation materials must be followed by a current preliminary offering circular or…
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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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Investor Relations and Rule 506 (c) Offerings
Rule 506(c) of Regulation D. Rule 506(c) removes the 80-year prohibition against the general solicitation and advertising of private placements.
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