Concurrent Private and Public OfferingsSection 4(a)(2)Uncategorized Compliance When Conducting Concurrent Private and Public Offerings Laura Anthony, Esq.January 19, 2010 The Securities and Exchange Commission’s (SEC) integration guidance in Securities Act Release No. 8828 (August 3, 2007) sets forth a... 029100
SEC Guidance Registering Convertible Securities Laura Anthony, Esq.January 12, 2010 Many clients seek to register convertible securities, such as convertible debentures, warrants, options or convertible preferred sto... 027700
Regulation ARule 134Rule 504 Regulation A – An Exemption By Any Other Name Is A Short Form Registration Laura Anthony, Esq.May 12, 2010 Although Regulation A is legally an exemption from the registration requirements contained in Section 5 of the Securities Act of 193... 027600
Form 10Form 8-KGoing PublicRule 144SEC GuidanceSection 13 Form 10 Registration Statements Laura Anthony, Esq.March 19, 2010 A Form 10 Registration Statement is a registration statement used to register a class of securities pursuant to Section 12(g) of the... 026700
Section 4(2)Securities AttorneysUncategorized An In-Depth Review of Private Placements Under Section 4(2) Laura Anthony, Esq.January 25, 2010 Section 4(2) of the Securities Act of 1933 provides that the registration requirements of Section 5 do not apply to “transactions by... 026100
Spin-Off Subsidiary Spin-Offs Laura Anthony, Esq.August 4, 2010 A subsidiary spin-off is a transaction where a parent corporation’s stock ownership of a subsidiary is distributed to the parent cor... 024300
Securities Attorneys Section 4(6) Registration Exemption for Accredited Investors Laura Anthony, Esq.January 28, 2010 Section 4(6) provides a registration exemption for offerings to accredited investors, if the aggregate offering amounts up to the do... 020400
Dodd-Frank ActRegulation DSecurities AttorneysUncategorized Dodd-Frank Act Changes Definition Of Accredited Investor Effective Immediately Laura Anthony, Esq.August 13, 2010 On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). A... 019000