Merger and Acquisitions – Board of Director Obligations, Part 4
This article continues my series on obligations (and rights and responsibilities) of the board of directors during a merger and acqu...
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Merger and Acquisitions – Board of Director Obligations, Part 3
This article continues my series on obligations (and rights and responsibilities) of the board of directors during a merger and/or a...
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Merger and Acquisitions – Board of Director Obligations, Part 2
This blog continues my series on obligations (and rights and responsibilities) of the board of directors during a merger and/or acqu...
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Merger and Acquisitions – Board of Director Obligations, Part 1
State corporate law generally provides that the business and affairs of a corporation shall be managed under the direction of its bo...
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Gunjumping Restrictions On Communications Related To IPOs
”Gunjumping” is the dissemination of information regarding the Issuer before a complete prospectus has been filed with the Securitie...
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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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Basic Refresher On The Private Placement Exemption
Section 4(2) of the Securities Act of 1933, as Amended (“Securities Act”) provides the statutory basis for private placement offerin...
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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...
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Has The OTCBB Been Replaced By The OTCQX And OTCQB?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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