Commissioner Mark Uyeda Dissents in Unregistered Dealer SEC Enforcement Action
In his dissent, Uyeda seems to accept the generally accepted description of variable-rate convertible notes as "toxic" and "death spiral" financings that…
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Does FINRA Rule 6490 Impact Going Public Transactions?
FINRA Rule 6490 has had an important impact on going public transactions specifically reverse mergers with public shell companies.
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SEC Nails BF Borgers and Ben Borgers – Issuers Must Obtain New Auditors
On May 3, 2024, the Securities and Exchange Commission provided a statement for issuers impacted by its enforcement action against BF Bofgers…
Read MoreWhat are SEC Periodic Reporting Requirements? Securities Lawyer 101
Companies become subject to the SEC’s periodic reporting requirements in several ways, including by filing a registration under the Securities Act of…
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