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Companies planning on a registered public offering must acquire an “effective” registration statement from the SEC before offering their securities for sale. However, under certain circumstances, Section 12 of the Securities Exchange Act of 1934 (also known as the Exchange Act) requires companies to file a registration statement even in the absence of “effective” registration.
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The IPO and financing transactions listing for the month of March 2021 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
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In September 2020, the SEC amended Rule 15c2-11 to enhance the OTC Market’s efficiency and facilitate capital formation for issuers. We published an article outlining all the details here. OTC Markets lists a significant 11,000 stocks not listed on national exchanges. The market caters to almost all kinds of industries and companies in all phases.
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Let’s talk about going public onto the NYSE and Nasdaq markets. For many entrepreneurs, taking their company public is the ultimate dream and mark of success. Every company is considered to be private before going public with a smaller number of shareholders, and limited accredited investors. Companies going public have considerable benefits such as an
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The IPO and financing transactions listing for the month of February 2021 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
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On January 29, 2021, The Securities and Exchange Commission (SEC) Small Business Capital Formation Advisory Committee virtually hosted a public meeting that fixated on the experiences of smaller public companies and the Commission’s recent Securities Act Rule 701 and Form S-8 proposals. The committee meeting consisted of two sessions, one in the morning discussing the
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The IPO and financing transactions listing for the month of January 2021 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
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On December 22, 2020, the SEC proposed amendments to Rule 144 to eliminate ‘tacking of’ the holding period of security and amend the filing requirements and the deadline to coincide with the Form 4 filing deadline. Under the proposed rule, the holding period for the “market-adjustable securities” acquired upon conversion or exchange will not begin
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This topic is an all-time favorite, and you will see almost everyone writing about their favorites in a different hierarchical order. Obviously, because of individual differences and halo effect, the choices and rankings differ as there is no well-defined formula for success. Even researchers that use specific metrics to assess the greatness of CEOs fail
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The IPO and financing transactions listing for the month of December 2020 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
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The IPO and financing transactions listing for the month of November 2020 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
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Here is a small sample of the Board of Directors Duties by State for Holding Shareholder Meetings, please see below the download button below the table In the United States, the power to dictate corporate law is given to the state, rather than the federal government. Because of this, the codes to which public companies
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The IPO and financing transactions listing for the month of October 2020 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
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On Nov. 2, 2020, the Securities and Exchange Commission (SEC) adopted amendments to the exempt offering framework under the Securities Act of 1933. The rules will benefit the investors, emerging companies, and more seasoned issuers by: Simplifying the multilayer exempt offering framework. Promoting capital formation Expanding investment opportunities Preserving investor protections Background: All securities offerings
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The IPO and financing transactions listing for the month of September 2020 can be found below. These transactions were filed to the SEC as S-1, F-1, and 1-A filings. The Form S-1 is the initial registration statement filing used by domestic companies to go public. The Form F-1 is a registration statement used by foreign
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On September 23, 2020, the SEC adopted amendments to modernize its shareholder proposal rule, under the Exchange Act Rule 14a-8. The rule defines requirements for shareholder proposal inclusion in the proxy statement: The stake and tenure of the shareholder The subsequent resubmission procedure if the proposal is not approved From the recent amendments, it is
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On Sept. 16, 2020, the SEC adopted amendments to Exchange Act Rule 15c2-11 directing broker-dealers not to publish security quotations in the absence of issuer’s current information, subject to certain exceptions. The amended rule enhances the efficiency of the OTC market and facilitates capital formation for issuers. Exchange Act Rule 15c2-11 is an essential component
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The financing and Initial Public Offering transactions for the month of August 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  8/3/2020 F-1 Lion Group Holding Ltd N/A Ogier
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Title IV Regulation A+ allows companies to raise up to $50 million per year, a process that many people refer to as “Mini-I.P.O.” Ever since the SEC announced exemptions and leverages in Regulation A+, we have been witnessing new crowdfunding platforms eager to take a plunge in the vast money pile like uncle scrooge. But
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