Rule 144 Q & A – Going Public Lawyers

Going Public LawyerPosted By Brenda Hamilton, Securities Lawyer The Securities Act of 1933, as amended (the “Securities Act”) requires the sale of a security to be registered under the Securities Act, unless the security or transaction qualifies for an exemption from registration. Rule 144 of the Securities Act provides a safe harbor that permits holders of restricted securities to resell their securities in... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/rule-144-going-public-lawyers/

Short Sales Q & A – Securities Lawyer 101

Going Public LawyerPosted By Brenda Hamilton, Securities Lawyer Short Sales Q & A A short sale transaction can be part of a legitimate trading strategy. It is often endorsed for its beneficial effects on the securities markets, which include increasing liquidity.  Short selling is also criticized.  Short sellers profit by identifying companies that are weak or overvalued, and companies whose shares have... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/short-sales-q-a/

Rule 144 Q & A - Going Public Lawyers

Posted By Brenda Hamilton, Securities Lawyer The Securities Act of 1933, as amended (the “Securities Act”) requires the sale of a security to be registered under the Securities Act, unless the security or transaction qualifies for an exemption...
https://www.securitieslawyer101.com/2015/rule-144-going-public-lawyers/

Private Placement Memorandums Q & A – Going Public Lawyers

Going Public LawyerPosted By Brenda Hamilton, Securities Lawyer A private placement memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum.  PPM’s are used by private companies in going public transactions and by existing public companies to raise capital by selling either debt or equity in an exempt offering.  Most exempt offerings are private placements. Q. What Disclosures Are Required in Private... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/private-placement-memorandums-going-public-lawyers/

Private Placement Memorandums Q & A - Going Public Lawyers

Posted By Brenda Hamilton, Securities Lawyer A private placement memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum.  PPM’s are used by private companies in going public transactions and by existing pu...
https://www.securitieslawyer101.com/2015/private-placement-memorandums-going-public-lawyers/

SEC Reporting After Regulation A – Going Public Lawyer

Going Public LawyerOn March 25, 2015, the SEC adopted Regulation A+ which amends former Regulation A. Regulation A+ adopts new ongoing reporting requirements that are based upon two Regulation A+ offering tiers. Tier 1 provides an exemption from SEC registration for offerings of up to $20 million. Tier 2 exempts offerings up to $50 million. One of the most notable differences between the... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/sec-reporting-regulation-a/

SEC Reporting After Regulation A - Going Public Lawyer

On March 25, 2015, the SEC adopted Regulation A+ which amends former Regulation A. Regulation A+ adopts new ongoing reporting requirements that are based upon  two Regulation A+ offering tiers. Tier 1 provides an exemption from SEC registration for ...
https://www.securitieslawyer101.com/2015/sec-reporting-regulation-a/