An In-Depth Review of Private Placements Under Section 4(2)
Section 4(2) of the Securities Act of 1933 provides that the registration requirements of Section 5 do not apply to “transactions by...
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An Introduction to Promissory Notes
A promissory note is a written promise by a person, persons or entity to pay a specific amount of money (called "principal") to anot...
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Analysis of Section 404(b) of the Sarbanes-Oxley Act of 2002 for Non-Accelerated Filers
Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord...
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Annual Report of Office of Advocate for Small Business Capital Formation
The Office of the Advocate for Small Business Capital Formation (“Office”) issued its 2020 Annual Report and it breaks down one of t...
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At-The-Market Offerings
Anyone that reads the trade journals knows that at-the-market offerings, or ATM’s as they are now known, have recently gained in pop...
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Audit Committees – NYSE American
Like Nasdaq, I’ve written several times about the NYSE American listing requirements including the general listing requirements (see...
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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...
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Big Changes Are Coming
I’ve been practicing securities law for 19 years this year (phew!) and for the first time in my career I am excited about changes, b...
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Caremark Eroded – Director Liability In Delaware
This year has marked a string of cases eroding the long history of Delaware’s board of director protections from breach of fiduciary...
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