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.…
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.…
As of two days ago, the Securities and Exchange Commission (“SEC”) rules implementing some provisions of the JOBS Act have become effective.…
On July 10, 2013, the SEC approved a rule banning the use of the Rule 506 exemption from securities registration if the issuer and bad actors had a disqualifying event.…
Under the Securities Act of 1933 as amended (the “Securites Act”), a Company that conducts an initial public offering (“IPO”) including in a going public transaction must adequately disclose material…
Investor relations also known as stock promotion involves the publication of information about a public company to increase its stock price and trading volume.…
A few weeks ago, the SEC issued its Enforcement Initiatives to Combat Financial Reporting and Microcap Fraud and Enhance Risk Analysis.…
