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On June 22, 2020, the Securities and Exchange Commission and the Antitrust Division of the Department of Justice signed an inter-agency MOU for enhancing competition in the securities industry. Assistant Attorney General Makan Delrahim of the Antitrust Division and the SEC Chairman Jay Clayton executed the historic Memorandum of Understanding. SEC Chairman Jay Clayton said
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Investing in or organizing an Initial Coin Offering (ICO) may sound like a great idea, especially if you were not able to mint profits from Bitcoin and Ethereum but beware of the associated risks. ICO is risky both for buyers and organizers for various reasons. If this is not something you want to read, skip
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On May 4, 2020, the SEC adopted certain leverages to Regulation Crowdfunding offerings, providing conditional temporary relief for smaller companies on the suggestion given by  members of the SEC’s Small Business Capital Formation Advisory Committee. Under temporary relief, small companies must satisfy certain conditions in addition to the present Reg CF requirements to benefit from
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FinTech Meetup On June 11, 2020, the Strategic arm of the SEC for Innovation and Financial Technology (FinHub) announced the launch of virtual peer-to-peer meet-ups (P2Ps), as a solution to its in-person meet-ups started in 2019. These meetings allow FinTech (Financial Technology) community to interact with FinHub and discuss their general issues, ask questions, or
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The financing and Initial Public Offering transactions for the month of May 2020 are posted below. These transactions were filed as S-1, F-1, and 1-A filings. To learn more about our IPO services, contact us.   Date Form Type Company Name Underwriter Legal Counsel Price Shares Offering Amount  5/4/2020 F-1 uCloudlink Group Inc. I-Bankers Securities,
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Recently, due to COVID-19, exchange listed companies have been struggling to comply with rules set forth for timely administration of annual shareholder meetings and SEC filings. Considering these situations and the fact that many listed companies are facing the risk of not meeting the continued listing standards, the SEC and exchanges, including the NASDAQ, NYSE
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In addition to Federal securities laws, states have their own securities regulations designed to protect investors which are referred to as Blue Sky Laws. Just like the SEC, states require securities to either be registered or exempted from registration before offering to investors of that state. Filings must be made by the issuer offering the
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The financing and Initial Public Offering transactions for the month of April 2020 are posted below. These transactions were filed as S-1, F-1, and 1-A filings. To learn more about our IPO services, contact us. Date Form Type Company Name Underwriter Legal Counsel Price Shares Offering Amount 4/10/2020 F-1 Safe-T Group Ltd. A.G.P./Alliance Global Partners
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In view of the current pandemic, the Securities and Exchange Commission has published guidelines for all market participants to provide aid with their annual shareholder meetings by encouraging “virtual” annual meetings and flexibility in rules for date and location of the meetings. Background Pursuant to federal securities laws, many public companies and investment companies are
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The financing and Initial Public Offering transactions for the month of March 2020 are posted below. These transactions were filed as S-1, F-1, and 1-A filings. To learn more about our IPO services, contact us.   Date Form Type Company Name Underwriter Legal Counsel Price Shares Offering Amount 3/16/2020 F-1 Nano Dimension Ltd.   ThinkEquity, a
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On Feb. 6, 2020, Commissioner Hester M. Peirce proposed a safe harbor for security token offerings. This safe harbor will exempt cryptocurrency and blockchain from federal securities registration regulations provided they satisfy certain conditions. This has been received very well in the digital currency community which was starving for some attention from policy makers. But
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The financing and Initial Public Offering transactions for the month of February 2020 are posted below.  These transactions were filed as S-1, F-1, and 1-A filings. To learn more about our IPO services, contact us. Date Form Type Company Name Underwriter Legal Counsel Price Shares Offering Amount 2/3/2020 F-1 Clarivate Analytics PLC Citigroup Global Markets
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On March 4th, the SEC proposed a series of amendments to improve crowdfunding regulations and the exempt offering framework. The proposal is aiming to promote capital formation and expand investment opportunities. Whether its raising seed capital or on the path to an initial public offering, a majority of entrepreneurs and emerging businesses raise capital using
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The Small Business Capital Advisory Committee held a meeting on February 2nd to discuss the Advocate for Small Business’s Capital Formation 2019 annual report, focusing on small business capital formation. The committee meeting was comprised of four panels; each of which had their own topic and key speakers. Panel I: Overview of Annual Report from
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Over the last couple years, more and more companies have decided to go public. Whether it’s attracting a larger audience, establishing credibility with suppliers and vendors, or raising additional capital, there are many benefits to conducting an initial public offering. Finding the right approach and support group can be challenging but worth it. Here is
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On December 3, 2019, the SEC approved NASDAQ’s proposal on extending direct listings. This means that companies will now be able to directly list securities on NASDAQ’s “Nasdaq Global Market” and “Nasdaq Capital Market” in addition to “Nasdaq Global Select Market”, which was already eligible for direct listing. This is a significant change for smaller companies
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The financing and Initial Public Offering transactions for the month of January 2020 are posted below.  These transactions were filed as S-1, F-1, and 1-A filings. To learn more about our IPO services, contact us. Date Form Type Company Name Underwriter Legal Counsel Price Shares Offering Amount 1/15/2020 F-1 Atotech Ltd N/A Latham & Watkins
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The Securities and Exchange Commission recently released a sweeping proposal to amend Rule 15c2-11 and provide a pathway to de-list currently trading OTC securities that are delinquent in their financial reporting or are shell companies. This new rule will modernize the existing Rule, updating several areas including rules about issuers’ current information, the piggyback exception,
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At its most basic definition, a capitalization table, or “cap table” is a list of your companies securities. This list includes stock, warrants, convertible notes, and equity grants. While there is no standard format, a successful cap table should be able to tell you “who owns what”. Some cap tables can be more complex by
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