When you’re issuing an offering, it’s important to know who’s who to determine whether Regulation D 506(b) or 506(c) comes into play. These rules determine how companies are allowed to sell securities. If all investors are accredited, there is no difference between...
Compliance with the securities laws, the rules and regulations thereunder means adhering to the rules and regulations of the Securities and Exchange Commission (SEC). The SEC imposes a number of strict registration, reporting, and disclosure requirements that...
If the U.S. Securities and Exchange Commission contacts you by phone, summons, or subpoena, you do not want to proceed alone. When the SEC comes knocking with questions, concerns, or accusations, having a knowledgeable attorney by your side is critical to navigate the...
https://vimeo.com/716167999/f27b1d4447 What is a PIPE? A PIPE is the unregistered sale of securities to select investors. Usually accredited investors of the shares of a public entity. Shares sold in a PIPE may not be freely traded immediately after purchase. The...
A corporation’s day-to-day operations are managed by the board of directors through their designees, the officers of the company. While the officers perform a significant amount of the day-to-day work, the directors provide advice concerning big-picture decisions....
A 10-Q is a report that publicly traded companies are required to file with the Securities and Exchange Commission on a quarterly basis. Similar to a 10-K but based on reviewed, not audited numbers and financials, this report provides insight to investors and...
