Equity Line Financing Examined
In a typical “equity line” financing arrangement, an investor and an Issuer enter into a written agreement whereby the Issuer has th...
Home Posts Tagged "OTCBB" (Page 3)
The Demise of the Death Spiral – SEC Interpretation of Rule 415
Without fanfare, publications, or other notice, in mid 2006, PIPE investors and the Issuers that utilized them noticed a big differe...
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SEC Approves BX Venture Market
The SEC has recently approved the NASDAQ OMX Group, Inc.’s application to form the BX Venture Market (“BX Market”) as an alternative...
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SEC Rule 144: Resale Conditions and Exempt Transactions
There are many questions regarding the application of Securities Act of 1933 (“Securities Act”) Rule 144 for the resale of securitie...
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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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The JOBS Act Is Not Just Crowdfunding
On April 5, 2012 President Obama signed the JOBS Act into law. In my excitement over this ground-breaking new law, I have been zeal...
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Contracting Away Fiduciary Obligations In Delaware LLCs And Limited Partnerships
Delaware corporate and alternative entity law has long been the model for other states in drafting statutes and for practitioners in...
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Securities Attorneys Must Self-Regulate to Avoid Potential Insider Trading Pitfalls
Attorneys who accept stock as compensation from public companies need to be aware of a vigilant regarding their insider trading obli...
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New FINRA Requirements for Corporate Actions Require More Thorough Documentation on Behalf of Issuers
Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord...
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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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