Smaller Reporting Company - Securities & Forensic Lawyers

SEC Regulation A+ Meeting on Emerging Companies

On July 14, 2016, the Securities and Exchange Commission (“SEC”) announced the agenda for its July 19 meeting of its Advisory Committee on Small and Emerging Companies.  The SEC Committee will focus on the first year of Regulation A+,… Read More

The SEC’s Pay Versus Performance Proposals

The proposals require SEC reporting companies to disclose the relationship between compensation “actually paid” to their named executive officers and the company’s financial performance, measured as total shareholder return (TSR). The proposed disclosure would consist of a table… Read More

What Is a Smaller Reporting Company? Going Public Lawyer

Securities Lawyer 101 Blog Complying with the Smaller Reporting Company Rules The Securities and Exchange Commission (the “SEC”) adopted a system of disclosure rules for issuers who fall into the category of a smaller reporting company.   The… Read More

SEC Disclosures for Smaller Reporting Companies

Securities Lawyer 101 Blog The SEC Disclosure rules allow smaller reporting companies to provide less comprehensive disclosures in their reports and filings so that compliance with the SEC’s disclosure requirements is  less burdensome. These reduced disclosure requirements are especially beneficial to private… Read More

SEC Guidance on Rule 147 Intrastate Offerings & Crowdfunding

On April 10, 2014, the Securities and Exchange Commission (“SEC”) issued a revised compliance and disclosure interpretation (“C&DIs”) and provided two new questions concerning crowdfunding under the JOBS Act and the intrastate exemption provided by Rule 147 under… Read More

What Are the Reporting Obligations After My Form S-1 ls Effective?

Once the SEC staff declares your company’s Securities Act registration statement effective, the company becomes subject to Exchange Act reporting requirements.  These rules require your company to file annual reports on Form 10-K, quarterly reports on Form 10-Q… Read More

Going Public Options for Foreign Companies

Securities Lawyer 101 Blog Foreign companies seeking access to the U.S. public markets have several options in going public transactions. Often, foreign companies seeking to raise capital from investors obtain public company status in the U.S. to attract investors.

Going Public For a Smaller Reporting Company l Securities Lawyer 101

 Securities Lawyer 101 Blog The federal securities laws establish different levels of disclosure and reporting requirements under the Securities Act of 1933, as amended (the “Securities Act”) and the Securities Exchange Act of 1934, as amended (the “Exchange… Read More