Law Blog Tag: rule 415

The DPO Process Including Form S-1 Registration Statement Requirements

January 07, 2014 in Direct Public Offering (DPO), Form S-1, Regulation S-K, S-1 Registration Statement, S-3 Registration Statement, Section 5, Securities Attorneys, White Paper

The Demise of the Death Spiral – SEC Interpretation of Rule 415

October 22, 2009 in Private Investment in Public Equity (PIPE), Securities Attorneys, Uncategorized

Without fanfare, publications, or other notice, in mid 2006, PIPE investors and the Issuers that utilized them noticed a big difference in the way that the Securities and Exchange Commission’s (SEC) division of corporate finance reviewed and commented upon, resale registration statements. Although the SEC staff contended that its position on Rule 415 had not changed, there was, incontrovertibly, a dramatic impact felt by Issuers and PIPE investors.