Securities Act - 2/5 - Securities l Corporate l Business Law

Form 10 vs Form 8-A Registration Statements

Simultaneously or subsequent to the effectiveness of a registration statement under the Securities Act of 1933, as amended (the “Securities Act”) for an initial public offering (IPO) or direct public offering (DPO), issuers can file a registration statement under the… Read More

Exchange Act Registration & Going Public For Foreign Issuers

Foreign companies going public in the United States must file a registration statement covering a class of securities pursuant to the Securities Exchange Act of 1934, as amended (“Exchange Act”) if the class of securities will be listed… Read More

The Laws That Apply To Going Public & Being Public

The first laws that apply to going public transactions are contained in the Securities Act of 1933 (the “Securities Act”). The Securities Act was followed by the Securities Exchange Act of 1934 (the “Exchange Act”). Going Public attorneys must… Read More

What Is Schedule 13D? Going Public Attorneys

When a person or group of persons acquires beneficial ownership of more than 5% of a voting class of a company’s equity securities registered under Section 12 of the Securities Exchange Act of 1934 (“Exchange Act”), they are… Read More

What Stock Can I Register On A Form S-8 Registration Statement?

Posted By Brenda Hamilton, Securities Lawyer Form S-8 is a short-form registration statement under the Securities Act of 1933, as amended (Securities Act) used to register employee and consultant benefit and compensation plans. Form S-8 cannot be used until… Read More

Periodic Reporting for Foreign Issuers – Going Public Lawyers

A foreign private issuer seeking to go public  in the U.S. can file a registration statement covering a public offering of securities under the Securities Act of 1933, as amended (“Securities Act”), register a class of equity securities under… Read More

Does a Foreign Company File a Registration Statement To Go Public?

Under federal securities laws, a foreign company that meets the definition of the Securities and Exchange Commission (SEC) of a foreign private issuer must register an offering of its securities under the Securities Act of 1933, as amended… Read More

Foreign Private Issuer Disclosure Obligations – Going Public Lawyers

Foreign issuers seeking to go public and access the U.S. capital markets must comply with the requirements of the Securities Act of 1933 (Securities Act) and the Securities Exchange Act of 1934 (Exchange Act). The Securities Act requires… Read More

Considerations For Foreign Companies Going Public

  The U.S. markets are a preferred venue for foreign companies seeking to raise capital and/or create liquidity for shareholders by going public. There are unique requirements under U.S. securities laws for foreign issuers seeking to go public… Read More

What Is The Section 1145 Exemption? Securities Lawyer 101

Securities law issues are an important consideration in structuring a Chapter 11 reorganization, particularly where the debtor is a public company. Section 1145 of the Securities Act of 1933, as amended (“Securities Act”) provides issuers in Chapter 11… Read More