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...
Home Posts Tagged "sec" (Page 3)
An Update On Dealing With The DTC Following The SEC’s Ruling On International Power Group, Ltd.
Back in October and November of 2011, I wrote a series of blogs regarding DTC eligibility for OTC (over-the-counter) Issuers. OTC I...
0
476
0
0
New FINRA Rule 5123 Takes Effect Requiring Notice of Private Placements by Member Firms
The Financial Industry Regulatory Authority has adopted new Rule 5123 requiring members to file notice of their participation in pri...
0
467
0
0
SEC’s Financial Disclosure Requirements For Sub-Entities Of Registered Companies
As required by the JOBS Act, in 2013 the SEC launched its Disclosure Effectiveness Initiative and has been examining disclosure requ...
0
438
0
0
SEC Chair Jay Clayton Discusses Direction Of SEC
In a much talked about speech to the Economic Club of New York on July 12, 2017, SEC Chairman Jay Clayton set forth his thoughts on...
0
435
0
0