Form S-1 Registration Statements Going Public NASDAQ NYSE and OTC Markets
All issuers qualify to use a Form S-1 Registration Statement in connection with going public to register the offer and sale of…
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What are the SEC Periodic Reporting Requirements? Form 10-K, Form 10-Q and Form 8-K Reports
Once the registration statement is effective, the company becomes subject to the SEC’s periodic reporting requirements. Companies can also become subject to…
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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 Accredited Investor Definition – Rule 506 Offerings
Rule 506 Offerings are the most common of the Regulation D exemptions from registration under the Securities Act of 1933, as amended…
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Section 4(a)(7) Resale Exemption – FAST ACT
Section 4(a)(7) provides an exemption for private resales from the SEC’s (“SEC”) registration statement requirements if certain conditions are met. One of…
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Short Sale – Q & A – Short Seller Rules – Regulation SHO Lawyers
A short sale transaction can be part of a legitimate trading strategy if done legally. Illegal Short selling...
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How Does Offering Integration Impact Reg A Offerings?
Offering integration can become a problem for some issuers conducting Regulation A+ (also known as Reg A) offerings. The Reg A offering integration rules…
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Regulation A Testing the Waters – Securities Lawyer 101
Once you publicly file your Form 1-A offering statement, the solicitation materials must be followed by a current preliminary offering circular or…
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