Rule 505 - Going Public Lawyers

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

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

Bad Actor Waivers- Regulation A+ – Rule 506 – Going Public

On March 13, 2015, the Securities and Exchange Commission (SEC) provided guidance addressing waivers of disqualification for bad actors under Regulation A and Rules 505 and 506 of Regulation D of the Securities Act of 1933, as amended. A waiver… 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

What Happens If I Forget To File My Form D? Going Public Lawyers

Securities Lawyer 101 Blog The most common exemptions from registration for both public companies and private companies seeking to go public are those provided by Regulation D of the Securities Act of 1933, as amended (“Securities Act”).  Many… Read More

What is a Private Placement Memorandum?

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

The SEC Analyzes Rule 506 l Going Public Attorneys

Securities Lawyer 101 Blog In its recently proposed Regulation Crowdfunding (“Reg CF”), the Securities and Exchange Commission (“SEC”) produced some interesting statistics on the types of unregistered offerings that have been popular with smaller issuers and private companies… Read More