Home Archive by Category "SEC Guidance" (Page 5)
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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The Securities & Exchange Commission (SEC) Provides Guidance Regarding Section 3(a)(10) of the Securities Act of 1933
Section 3(a)(10) of the Securities Act of 1933, as amended (“Securities Act”) is an exemption from the Securities Act registration r...
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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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Crowdfunding Act – What about state securities laws?
On April 5, 2012 President Obama signed the JOBS Act into law. Part of the JOBS Act is the Crowdfunding Act, the full title of which...
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