Under the Securities Act of 1934, an issuer – a company that is publically traded – must make certain reports to the Securities and Exchange Commission (“SEC”) on a periodic basis. An issuer must file a Form 10-K for annual reports, and a Form 10-Q for quarterly...
Regulation S gives U.S. and non-U.S. companies a way to raise capital for an overseas company while remaining compliant with United States securities law. This regulation is a safe harbor provision that exempts international securities from having to register under...
Under the Securities Act of 1933, securities cannot be sold in a company unless they are registered or meet an exemption from registration. Regulation S and Regulation D provide two exemptions from registering private securities with the Securities and Exchange...
Financial markets are complex — and there are two basic ways they are organized. Stocks can be traded on a listed exchange or in an over-the-counter (OTC) market. It’s crucial to contact a Manhattan securities attorney to understand the difference if your company...
The Securities and Exchange Commission (SEC) rules and regulations are in place to ensure investors are protected, and markets are fair and efficient. Failure to produce current information can result in a company running afoul of federal securities laws and limit the...
Pursuant to federal securities laws, any sale of a security must be registered or meet an exemption. In the Federal securities laws, the laws contain several exemptions. Regulation D is one such exemption. In this blog, you will learn the difference between a...
