Private companies seeking to go public often use a direct public offering. Unlike an Initial Public Offering, a Direct Public Offering allows an issuer to sell its shares directly to…
On July 31, 2013, The Securities and Exchange Commission announced the issuance of Commissioner Elisse B. Walter’s statement, ”The Commission’s Registration Process: How to Better Administer an Ounce of Prevention”.…
A private foreign company seeking to go public may be classified as a U.S. domestic issuer or a non-U.S., foreign private issuer under SEC rules.…
The JOBS Act’s new rules permitting general solicitation and advertising in Rule 506 will become effective on September 23, and there is still some confusion about the difference between crowdfunding…
Private companies in going public transactions seeking to have their securties quoted on the OTCMarkets OTCQB must first become reporting with the Securities and Exchange Commission (the “SEC”).…
Companies seeking capital are frequently approached by finders who offer to locate investors in exchange for a fee.…
A few weeks ago, the SEC issued its Enforcement Initiatives to Combat Financial Reporting and Microcap Fraud and Enhance Risk Analysis.…
Since Rule 506(c) of Regulation D became effective, more than 170 issuers used the rule to conduct their offerings.…
Less has been said about the JOBS Acts benefits for foreign issuers seeking to enter U.S. markets using going public transactions.
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As the number of U.S. companies launching initial public offerings (“IPOs”) by filing registration statements increased throughout 2013, foreign issuers joined in.…
