Restricted Securities - Going Public Lawyers

Regulation A+ 2018 Shelf Offerings

Posted by Brenda Hamilton, Securities Attorney Regulation A also known as Regulation A+ provides an existing exemption from registration for smaller issuers of securities. Regulation A+ offerings can be used in combination with direct public offerings and initial public offerings as part of a Going Public Transaction.  One key benefit of… Read More

Regulation A+ Amendment – 2018 Regulation A+ Update

Three years after becoming effective, a Regulation A+ amendment has been approved. Last month, the Economic Growth, Regulatory Relief, and Consumer Protection Act (the “Act”) was signed into law and included notable legislation expanding Regulation A+. The Act directs the… Read More

Regulation A+ Q&A

Regulation A+ expands existing Regulation A. Existing Regulation A provides an existing exemption from registration for smaller issuers of securities. Regulation A+ offerings can be used in combination with direct public offerings and initial public offerings as part of a Going Public Transaction allowing the issuer to avoid the risks… Read More

Regulation A+ Offering Disclosures – Regulation A+ Law Firm- Going Public

Regulation A+ expands existing Regulation A. Existing Regulation A provides an existing exemption from registration for smaller issuers of securities. Regulation A+ offerings can be used in combination with direct public offerings and initial public offerings as part of a Going Public Transaction. Regulation A+ simplifies the process of obtaining the seed stockholders required… Read More

Disclosure Obligations in Regulation A+ Offerings

The Anti-Fraud Provisions And  Regulation A+  On March 25, 2015, the Securities and Exchange Commission adopted final rules amending Regulation A. The new rules are often referred to as Regulation A+. These rules are designed to facilitate smaller companies’ access to… Read More

Regulation A+ Q & A – Regulation A+ Lawyers

Regulation A+ Lawyers Explain Regulation A+ With Q&A Series Regulation A+ expands existing Regulation A. Existing Regulation A provides an existing exemption from registration for smaller issuers of securities. Regulation A+ offerings can be used in combination with… Read More

Can I Sell Shares Under Section 4(1)? Going Public Lawyers

Rule 144 (“SEC Rule 144”) under the Securities Act of 1933 (“Securities Act”) provides a safe harbor from the registration statement provisions of the Securities Act for resale of restricted and  control securities by persons other than the issuer… Read More

Rule 144 Checklist l Securities Lawyer 101

Securities Lawyer 101 Blog The Securities Act of 1933, as amended (the “Securities Act”) requires the sale of a security to be registered under the Securities Act, unless the security or transaction qualifies for an exemption from registration…. Read More

How Do I Resell Restricted Stock ? l Securities Lawyer 101

Securities Lawyer 101 Blog  It has become routine for public companies and private companies going public to mark their stock certificates with “Restrictive Legends”.   Generally, restrictive stock legends state that the securities represented by the stock certificate are not… Read More

Can I Remove A Restricted Legend From My Shares? Going Public Lawyers

The Securities Act of 1933, as amended (the “Securities Act”) does not require that issuers place restricted legend (“Restricted Legends” or “Restrictive Legend“) on certificates representing restricted securities.   It has become routine for public companies and private companies seeking… Read More