Rule 15c211 - Securities l Corporate l Business Law

Going Public Using a Form S-1 Registration Statement

Going Public Using a Form S-1- 2018 Private companies going public commonly use a registration statement (“Registration Statement”) on Form S-1 under the Securities Act of 1933, as amended (the “Securities Act”). When a Form S-1 Registration Statement is… Read More

What Disclosure Is Required By Rule 15c2-11?

Rule 15c2-11 under the Securities and Exchange Act of 1934 (Exchange Act) governs the submission and publication of quotations by brokers and dealers for OTC equity securities. Specifically, the rule applies to a broker-dealer’s initiation or resumption of… Read More

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, a direct public offering does not involve an underwriter.  While it often takes a year or longer… Read More

Market Makers 101 By: Brenda Hamilton

The Role of Market Makers in Going Public Transactions Market Makers play a critical role in the going public process. The last step in  a going public transaction is for the soon-to-be-public company to locate its sponsoring market maker for… Read More