I wanted a general post on basic Securities Law so I went to Kermit Hall’s Oxford Guide to American Law (I get nothing if you buy these books from the links provided, but I’m giving you a taste of them and I trust you will all buy them anyways).  I was reading the entry on…

SEC Adopts Rules to Permit Crowdfunding Proposes Amendments to Existing Rules to Facilitate Intrastate and Regional Securities Offerings FOR IMMEDIATE RELEASE 2015-249 Washington D.C., Oct. 30, 2015 —The Securities and Exchange Commission today adopted final rules to permit companies to offer and sell securities through crowdfunding.  The Commission also voted to propose amendments to existing…

REGULATION FAIR DISCLOSURE             The Securities and Exchange Commission (“SEC”) has issued many laws that aim to protect investors in the securities market. Most of these laws deal with forced disclosure, a compelled transparency by publicly traded companies of mostly financial information that will create a well-informed, and therefore, safer market place. Some examples of…

The Jumpstart Our Business Startups Act (“JOBS Act”) was passed by Congress in April 2012 has been implemented in stages through a contentious standoff between the SEC and Congress.  This sweeping reform was passed by Congress and the SEC was not given sufficient resources to implement the JOBS Act. Timeline for JOBS Act Implementation Title…

  This is the draft of a paper I hope to continue developing. I hope to eventually publish it.  Therefore, this is the first of several posts about delisting and deregistering your public company. Introduction The Securities and Exchange Commission (the “SEC”) permits certain issuers to voluntarily “opt-out” of the public company reporting system when its…

First of all, an auditor’s dismissal, declination, or resignation triggers Item 4.01 of Form 8-K, meaning the Company will need to file an 8-K within four days of dismissal or resignation. You can do it one or two 8-Ks, meaning you can announce the auditor’s resignation in an 8-K and then file another 8-K when…

Let’s say you are a small to medium sized mining company and you receive big news from the lab that has just confirmed your very favorable assay results.  Or, in the alternative, your company hit a huge vein and is pulling out truckloads of high grade metals.  By the time this favorable news hits the…

Why Reverse Mergers? Most people think “IPO” when they hear that a company is going public.[1]  A cheaper and faster alternative to the traditional IPO, however, is through a reverse merger. In a reverse merger, “the shareholders of the private company exchange their shares for a large majority of the shares of the public shell…

An Initial Public Offering (IPO) is an exciting time for a company and its prospective investors. What many don’t know, though, is that several interesting, behind-the-scene details are often revealed during an IPO — the sort of telling details that provide fascinating insights into a company. Here are just a few intriguing details about some…

Corporate securities laws aren’t the easiest things to understand, even for businesses that have been involved in finance and investing in the corporate world for a long time. But since the best way to ensure a better understanding of complex corporate securities laws is to start at the bottom, here are a few of the…

Page 4 of 7 1 2 3 4 5 6 7