Ticker Symbol - Securities l Corporate l Business Law

Regulation A+ 2018 Shelf Offerings

Posted by Brenda Hamilton, Securities Attorney Regulation A also known as Regulation A+ provides an existing exemption from registration for smaller issuers of securities. Regulation A+ offerings can be used in combination with direct public offerings and initial public offerings as part of a Going Public Transaction.  One key benefit of… Read More

Can Regulation A+ Be Used For a Shelf Offering?

Amended Regulation A or Regulation A+ allows issuers to conduct continuous or delayed offerings under pursuant to Rule 251(d)(3). Continuous or delayed offerings are also known as shelf offerings. Shelf offerings are often used in going public transactions… Read More

Why Is There A Q On My Ticker Symbol?

When a company is involved in bankruptcy proceedings, the letter “Q” is added to the end of the company’s stock ticker/trading symbol. More often than not, bankruptcy is the kiss of death for a public company. In most… Read More

Does FINRA Approve Going Public Transactions? Going Public Attorneys

By The Going Public Attorneys – The Financial Institution Regulatory Authority (FINRA) plays an important role in going public transactions.  While filing a registration statement on Form S-1 will make a company reporting with the Securities and Exchange Commission,… Read More

What is a Sponsoring Market Maker?

  The last step in a going public transaction is for the company to receive a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”).  For a company to obtain its ticker symbol, a sponsoring market maker (“Sponsoring… Read More

Regulation A l The Colossal Exemption l Securities Lawyer 101

On December 18, 2013, the Securities and Exchange Commission (“SEC”) voted to propose rules impacting Regulation A . The rules are mandated by the 2012 Jumpstart Our Business Startups Act and designed to encourage investment in smaller companies. Regulation A has rarely… Read More

How Can I Go Public Via a Slow PO?

Securities Lawyer 101 Blog Many owners of small businesses give thought to going public, but wonder if the risks and the expense may outweigh the rewards. They’ve heard that traditional Initial Public Offerings (“IPOs”) using registration statements are complicated… Read More

GenMedx Inc. Changes and Ticker Symbol l Securities Lawyer 101

Securities Lawyer 101 Blog Boca Raton, Florida, May 20, 2013, GenMedx, Inc., a Nevada corporation announced its new name and trading symbol. GenMedx, Inc. is now Pyramidion Technology Group, Inc. Effective June 19, 2013, the Company commenced trading… Read More

Market Makers in Going Public Matters l Securities Lawyer 101

Securities Lawyer 101 Blog The last step in going public transactions is most often obtaining a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”). For a company to obtain a ticker, a market maker must file… Read More