Back To Basics – IPO Or Not To IPO?
Initial Public Offerings (IPO’s) are on the rise once again. I have potential clients calling me daily interested in going public t...
Home Archive by Category "Reverse Mergers" (Page 4)
Reverse Mergers
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Basic Refresher On The Private Placement Exemption
Section 4(2) of the Securities Act of 1933, as Amended (“Securities Act”) provides the statutory basis for private placement offerin...
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Special Purpose Acquisition Companies (SPACs)
A SPAC is a company organized to purchase one or more operating businesses and which generally intends to raise capital through an i...
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Rule 144 and the Evergreen Requirement Examined
Technically Rule 144 provides a safe harbor from the definition of the term “underwriter” such that a selling shareholder may utiliz...
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Overview of Recognized Exemptions From Section 5
The Securities Act of 1933 recognizes two broad types of exemptions to the registration requirements of Section 5, exempt securities...
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Section 3(a)(9) Exchanges Evaluated
Section 3(a)(9) of the Securities Act of 1933, provides an exemption from the registration requirements for “[E]xcept with respect t...
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Rule 144 and Pink Sheet Shells; Selling Shares Post Merger
One of the most common inquiries received by securities attorneys today involves Issuers wanting to know when they and their shareho...
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Necessity of Background Searches on Officers and Directors as Part of Due Diligence Prior to a Reverse Merger or IPO
Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord...
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Market Makers Rely on Due Diligence in Reverse Mergers
Learn how to quickly and effectively complete the due diligence process for reverse mergers. Florida securities attorney Laura Antho...
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