Rule 15c2-11 Compliance Deadline Is Just Around the Corner
In September of last year, the Securities and Exchange Commission (the “SEC”) adopted amendments to Securities Exchange Act Rule 15c2-11. In early 2020, we…
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Going Public: Myths and Misinformation about Reverse Mergers
Myths and misinformation: The truth behind reverse mergers. What is really the best way to go public? Direct Public Offering vs Reverse…
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Direct Public Offering Attorneys, DPO, Go Public Direct
A direct public offering (“Direct Public Offering”) provides a viable solution to these companies. Using a Direct Public Offering to go public direct can allow…
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SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures
On Friday, the Securities and Exchange Commission (the "SEC") announced that it had settled charges against The Cheesecake Factory Incorporated (CAKE) for…
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SEC Amends Regulation A, Crowdfunding and Rule 504 Securities Exemptions
The SEC adopted amendments to: (1) establish a new integration framework for issuers to move from one securities offering exemption to another;…
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SEC Proposes Exemptive Relief for Finders
At its October 7, 2020 open meeting, the Securities and Exchange Commission (the “SEC”) voted to propose exemptive relief for certain finders…
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SEC Amends Rule 15c2-11, Form 211 Amendments
On September 16, 2020, SEC amended Exchange Act Rule 15c2-11 and Form 211. Changes to Rule 15c2-11 were proposed last year. The OTC…
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Regulation CF Crowdfunding and SEC Reporting After the Offering
After an issuer completes a Regulation CF crowdfunding offering, it must comply with certain ongoing reporting obligations. Unlike public company SEC reporting…
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Rule 504 Offerings – Regulation D Attorneys
Securities offerings under Rule 504 of Regulation D of the Securities Act may prove useful to founders of startup and small companies.
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SEC Provides Form S-3 Coronavirus Relief – Securities Lawyer 101
The SEC has provided relief to Form S-3 issuers because of coronavirus. Form S-3 is a short-form registration statement that consists primarily…
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Public Company SEC Reporting Requirements -SEC Requirements to Go Public
Public Company SEC Reporting Requirements - SEC Requirements to Go Public, Going Public Attorneys. Companies filing registration statements with the SEC become…
Read MoreRule 12b-25 Q & A – SEC Reporting Requirements
Form 12b-25 and Rule 12b-25 provide relief for issuers unable to meet SEC reporting requirements on time. Rule 12b-25 grants..
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What Is SEC Form 5 – SEC Reporting Requirements- Securities Lawyer 101
Section 16 insiders must file an Annual Statement of Changes in Beneficial Ownership on Form 5 if there are any transactions in…
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What Is a Seed Stockholder? Going Public Lawyers
One requirement of a going public transaction is that the issuer obtain sufficient stockholders to establish a trading market. These initial investors…
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Why Form 10 Shells Are High Risk – Form 10 Reverse Mergers
Many issuers seeking to raise capital often attempt to go public using a reverse merger with a Form 10 public shell company.…
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