Rule 504 - Going Public Lawyers

SEC Issues Rule 147 Intrastate Crowdfunding Guidance – Posted by Brenda Hamilton

In October of last year, the Securities and Exchange Commission (“SEC”), adopted final rules (1) amending Rule 147, also known as Intrastate Crowdfunding and Rule 504 under the Securities Act of 1933, as amended (the “Securities Act”),  and… Read More

SEC Expands Rule 504 of Regulation D & Rule 147

On October 26, 2016, the Securities and Exchange Commission (the “SEC”) adopted final rules that amend Rule 504 of Regulation D and Rule 147. According to the SEC, these new rules modernize how companies can raise money to… Read More

Do State Blue Sky Laws Apply To Regulation D Offerings?

    Issuers are sometimes unaware of the state laws that apply to offerings that are exempt under the federal securities laws. The purchase or sale of a security be subject to a registration statement under the Securities… Read More

Equity Crowdfunding Approved – Going Public Attorney

The Securities and Exchange Commission voted 3-1 to approve the long awaited equity crowdfunding rules. Equity Crowdfunding was adopted pursuant to Title III of the Jumpstart Our Business Act (JOBS Act). As adopted today, the rule allows companies to… Read More

SEC Addresses Equity Crowdfunding – Going Public Attorney

On October 30, 2015, three years after The JOBS Act became law, the Securities and Exchange Commission (SEC) will vote to in an Open Meeting to consider whether to: adopt rules and forms related to the offer and… Read More

Cry Me A River – DTC Chills & Global Locks – Going Public Attorneys

Securities Lawyer 101 Blog The Depository Trust and Clearing Corporation (“DTCC”), through its subsidiaries, provides clearing, settlement and information services for securities.  DTCC’s subsidiary, the Depository Trust Company (“DTC”), was created to improve efficiencies and reduce risk in… Read More

Regulation D and PPM Lawyers – Going Public

A private placement memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum.  PPM’s are used by private companies  in going public transactions and by existing public companies to raise capital by selling either debt… Read More

Do I Have To Amend My Form D? Going Public Attorneys

When a company decides to raise money in a Regulation D offering as part of its going public transaction, it must file a Form D – Notice of Sales with the Securities and Exchange Commission Rule 504, 505… Read More

Private Placement Memorandums Q & A – Going Public Lawyers

A Private Placement Memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum.  PPM’s are used by private companies in going public transactions and by existing public companies to raise capital by selling either debt or… Read More

Form D – Notice of Sales – Going Public Lawyers

Posted By Brenda Hamilton, Securities Lawyer Companies may use an exemption under Regulation D to offer and sell securities without having to register the offering with the Securities and Exchange Commission (“SEC”).  When relying on such an exemption,… Read More