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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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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 Office of Compliance Inspections and Examinations (OCIE) of Securities and Exchange Commission (SEC) has revealed its examination priorities for the year 2019, on December 20, 2018. Every year OCIE publishes its examination priorities to emphasize its commitment to transparency, and promote it in the examination programs. The OCIE examination priorities are provided to give
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EDT
Introduction At the beginning of his opening remarks in May of 2017, SEC Commissioner Michael Piwowar expressed that he was happy to be involved in the SEC-NYU dialogue in which he shared his views on the IPO market. Piwowar has a thorough background in economics, politics, and finance – including an employment history in economics,
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EDT
In our contemporary society, software has been created for every imaginable need, both professionally and personally. There are programs for accountants, financial planners, engineers, architects, and many other careers. Now, there is also a stock option software program for companies that offer stock options to their employees, and the software is more popular than ever.