New FINRA Rules For Corporate Actions
Effective September 27, 2010, the SEC has approved new FINRA Rule 6490 (Processing of Company Related Actions). Rule 6490 requires...
Home Posts Tagged "Reverse Mergers" (Page 2)
Has The OTCBB Been Replaced By The OTCQX And OTCQB?
Over the past few years, the historical “PinkSheets” has undergone some major changes, starting with the creation of certain “tiers”...
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Dodd-Frank Act Changes Definition Of Accredited Investor Effective Immediately
On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). A...
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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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PIPE Transactions, Terms and Requirements
A PIPE (Private Investment in Public Equity) transaction is typically a private placement of equity or equity-linked securities by a...
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Regulation A – An Exemption By Any Other Name Is A Short Form Registration
Although Regulation A is legally an exemption from the registration requirements contained in Section 5 of the Securities Act of 193...
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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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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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Compliance When Conducting Concurrent Private and Public Offerings
The Securities and Exchange Commission’s (SEC) integration guidance in Securities Act Release No. 8828 (August 3, 2007) sets forth a...
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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...
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