SEC Registration - Securities l Corporate l Business Law

How Do I Register A Direct Public Offering?

Securities Lawyer 101 Blog Private companies seeking to go public often use a direct public offering (“Direct Public Offering”).  Unlike an Initial Public Offering (“IPO”), a Direct Public Offering allows an issuer to sell its shares directly to investors without… Read More

Going Public Shareholder Requirements l Going Public Lawyers

The going public process involves a number of steps that vary depending on the characteristics of the private company wishing to go public, and whether it will become a Securities and Exchange Commission (“SEC”) reporting company. All companies seeking… Read More

Don’t Be A Sucker – Reverse Mergers & Form 10 Shells

Form 10 Shells are often sold for reverse merger transactions.  A Form 10 shell is a company with no or nominal operational activity that are “Public Companies” meaning they are obligated to file reports with the Securities and… Read More

DTC Conspiracy Theories Continue In 2015

Securities Lawyer 101 Blog We continue to receive inquiries from management and shareholders of public companies about the Depository Trust Company (“DTC”).  Many of these people assert that there is a larger DTC conspiracy in the works.  Frequently,… Read More

Can A Foreign Company Go Public in the U.S.? Going Public Lawyers

Securities Lawyer 101 Blog Typically, foreign companies seeking to raise capital attempt to obtain public company status.  Foreign companies that go public in the U.S. may complete a public offering by registering securities with the Securities and Exchange Commission… Read More

What Are the Prospectus Delivery Requirements? Going Public

Securities Lawyer 101 Blog Under the Securities Act of 1933 as amended (the “Securities Act”), a Company that conducts an initial public offering (“IPO”) including in a going public transaction must adequately disclose material information to investors.  These… Read More

The SEC’s XBRL Interactive Data l Securities Lawyer 101

Securities Lawyer 101 Blog The use of eXtensible Business Reporting Language (XBRL) interactive data is intended to improve the accessibility of financial information to investors by making the information inexpensive and easier to use.  XBRL interactive data uses a standardized… Read More

The Role of the Direct Public Offering Attorney

Securities Lawyer 101 Blog The direct public offering (“Direct Public Offering“) has become the premier method used in going public transactions.  A skilled Direct Public Offering attorney can guide a private company through the Direct Public Offering process. A… Read More

What are Convertible Securities? l Securities Lawyer 101

Securities Lawyer 101 Blog A “convertible security” is often structured as a bond, note, preferred stock, or a wraparound agreement that results in the conversion of the debt obligation into common stock.  The holder of the convertible security or… Read More

SEC Registration Statements And Direct Public Offerings Q & A

  SEC registration statements are the most efficient and reliable method for a private company to obtain public company status. Using a registration statement, companies provide transparency to investors and avoid the risks of reverse merger transactions.  This blog… Read More