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...
Home Posts Tagged "Securities Attorney" (Page 5)
Tag: Securities Attorney
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Subsidiary Spin-Offs
A subsidiary spin-off is a transaction where a parent corporation’s stock ownership of a subsidiary is distributed to the parent cor...
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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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Direct Public Offerings And The Internet
In today’s financial environment, many Issuers are choosing to self underwrite their public offerings, commonly referred to as a Dir...
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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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Form 10 Registration Statements
A Form 10 Registration Statement is a registration statement used to register a class of securities pursuant to Section 12(g) of the...
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Section 4(6) Registration Exemption for Accredited Investors
Section 4(6) provides a registration exemption for offerings to accredited investors, if the aggregate offering amounts up to the do...
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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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