Home Archive by Category "SEC Guidance" (Page 2)
SEC Guidance
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Proper Use of S-8 Registration Statements
A Form S-8 registration statement is popular with small business issuers because it becomes effective immediately upon filing and al...
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Registering Convertible Securities
Many clients seek to register convertible securities, such as convertible debentures, warrants, options or convertible preferred sto...
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Responsibilities of Independent Directors Increases in Response to Sarbanes Oxley
Serving as an independent director carries serious obligations and responsibilities. Following the passage of the Sarbanes Oxley...
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Rule 701 – Exemption for Offers and Sales to Employees of Non-Reporting Entities
While the issuance of small numbers of shares as prizes or awards to employees may be made without Securities Act Registration, if s...
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S-8 Stock, Use and Misuse
A Form S-8 registration statement is popular with small business issuers as it becomes effective immediately upon filing and allows...
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