Business
The SEC Reverse Merger Task Force
A few weeks ago, the SEC issued its Enforcement Initiatives to Combat Financial Reporting and Microcap Fraud and Enhance Risk Analysis.…
Business
DTCC Identifies Cyber Attacks As Most Significant Risk To Financial Markets
On August 7, Depository Trust & Clearing Corporation (DTCC) released a report identifying threats to the stability of the financial markets.…
News
Equity Lines In Going Public Transactions
In going public transactions, issuers consider many captial raising options. One capital raising option is the equity credit Line Most equity lines are structured so that the investor enters into…
Business
Rule 506 Not For Bad Actors Anymore
On July 10, 2013, the Securities and Exchange Commission (the “SEC” or “Commission”) adopted amendments to rules promulgated under Regulation D of the Securities Act of 1933, as amended (the…
Business
Reverse Mergers In Going Public Transactions
Private Companies become publicly traded filing a registration statement under the Securities Act of 1933, as amended. Another established method for private companies go public is through a Reverse Merger
Business
Going Public On The Pink Sheets Using Form 211
Private companies seeking to go public are opting to list on the OTCMarkets /www.otcmarkets.com> OTC Pink Current tier. Companies seeking to public company status can list on the OTC Pink…
Business
Regulation S And Foreign Issuers
Foreign private issuers may raise capital in the U.S. by filing a registration statement under the Securities Act of 1933, as amended (the "Securities Act") or by selling securities that…
Business
The Direct Public Offering Process In Going Public Transactions
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…
Business
Form 10 Shells In Going Public Matters
Issuers seeking to raise capital often attempt to go public using a reverse merger with a public shell. Blank check companies that file Form 10 Registration Statements are marketed as…
Business
The Crowdfunding Rule 506 Distinction
The JOBS Act’s new rules permitting general solicitation and advertising in Rule 506 private placements will become effective on September 23, and there is still some confusion about crowdfunding and…