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    Topic search: capital options

  • KYLIANNE HARLEY

    Disclosure Obligations in Regulation A+ Offerings

    (Link)

    Wed Aug 29 17:29:43 CEST 2018

    The Anti-Fraud Provisions And Regulation A+ On March 25, 2015, the Securities and Exchange Commission adopted final rules amending Regulation A. The new rules are often referred to as Regulation A+. These rules are designed to facilitate smaller companies’ access to capital. Regulation A+’s new rules provide investors with more investment choices and issuers with more capital raising options during their going public transactions. The rules adopting Regulation A+ are mandated by Title IV of ...


  • KYLIANNE HARLEY

    Going Public – Regulation A+ – IPO Alternative

    (Link)

    Wed Aug 29 17:06:59 CEST 2018

    Regulation A+ is designed to facilitate smaller companies’ access to capital by providing an alternative to direct public offerings/DPO’s and initial public offerings/IPO’s. Regulation A+’s new rules provide investors with more investment choices and issuers with more capital raising options during their going public transactions. Regulation A+ provides a workable alternative to an initial public offering/IPO by allowing companies to raise capital without an underwriter and without filing a fu...


  • KYLIANNE HARLEY

    Initial Public Offerings l Going Public Attorneys

    (Link)

    Wed Aug 29 17:02:09 CEST 2018

    An Initial Public Offering (“IPO”) is often used by a private issuer seeking to go public as part of its going public transaction. An IPO involves filing a registration statement with the SEC covering a securities offering. The registration statement frequently used is Form S-1, a Securities Act of 1933, as amended (the “Securities Act”) form. IPO candidates may be private issuers seeking to go public with their securities quoted on the OTCMarkets OTCQB, OTCQX or OTC Pink tiers, or larger...


  • KYLIANNE HARLEY

    Form S-1 Going Public Bootcamp – Going Public Lawyers

    (Link)

    Wed Aug 29 16:45:51 CEST 2018

    The process of “going public” with a SEC registration statement is complex and at times precarious. While going public offers many benefits it also comes with risks and quantities of regulations with which issuers must become familiar. Despite the risks even in a down economy, the U.S. markets remain an attractive source of capital for both domestic and foreign issuers. It is important for issuers to have an experienced securities attorney to help navigate through the process and deal with t...


  • KYLIANNE HARLEY

    What is an Exempt Direct Public Offering?

    (Link)

    Wed Aug 29 16:31:06 CEST 2018

    The Direct Public Offering plays an important role in the going public process. Direct Public Offerings provide flexible options for issuers and allow the issuer to structure its going public transactions a variety of ways. Rules adopted pursuant to the JOBS Act, make an exempt Direct Public Offering an appealing and uncomplicated method of raising capital.One of the most important aspects of the going public process involves deciding the terms of the offering that will be presented to investors...


  • KYLIANNE HARLEY

    Who Can Conduct A Regulation A+ Offering? Going Public

    (Link)

    Wed Aug 29 16:29:38 CEST 2018

    On March 25, 2015, the Securities and Exchange Commission (“SEC”) adopted amendments to Regulation A known as Regulation A+. Regulation A+ was adopted to facilitate capital-raising by smaller companies. Regulation A+ offerings cannot be undertaken by all companies or used to offer and sell all types of securities. This blog post addresses eligibility requirements of Regulation A+ offerings. Securities Eligible For Regulation A+ Offerings Only equity securities, including warrants, options,...


  • KYLIANNE HARLEY

    Regulation A+ Tier 2 Reporting Obligations – Going Public Lawyer

    (Link)

    Wed Aug 29 16:03:47 CEST 2018

    Regulation A also known as Regulation A+ provides investors with more investment choices and issuers with more capital raising options during their going public transactions. The rules adopting Regulation A+ are mandated by Title IV of the Jumpstart Our Business Startups (JOBS) Act. Regulation A+ expands existing Regulation A dramatically opening new doors for capital raising for smaller companies. Regulation A+ offerings can be used in combination with direct public offerings and initial pu...


  • BRENDA HAMILTON

    Regulation A+ Lawyers

    (News & Articles)

    Fri Jul 24 18:58:45 CEST 2015

    Regulation A+’s new rules provide investors with more investment choices and issuers with more capital raising options during their going public transactions. Some confusion has arisen about whether SEC qualification of a Regulation A+ offering will result in the assignment of a stock ticker or trading symbol. Companies conducting Regulation A+ offerings must submit Form 1-A to the Securities and Exchange Commission (SEC). Form 1-A is subject to SEC review and the SEC may issue comments to the ...


  • BRENDA HAMILTON

    The SEC Analyses Exempt Offerings

    (News & Articles)

    Wed Nov 13 16:58:05 CET 2013

    In its recently proposed Regulation Crowdfunding (“Reg CF”), the Securities and Exchange Commission (“SEC”) produced some interesting statistics on the types of unregistered offerings that have been popular with smaller issuers over the past few years. Since the crowdfunding proposals won’t become effective till mid-summer at the earliest, companies interested in initiating offerings in the next few months should take note. Many startups begin by raising capital from family and friends. Fun...


  • BRENDA HAMILTON

    The Multijurisdictional Disclosure System For Canadian Issuers

    (News & Articles)

    Wed Nov 13 16:57:08 CET 2013

    The Multijurisdictional Disclosure System (“MJDS”) was adopted in July 1991 by the U.S. Securities and Exchange Commission (“SEC”) and the Canadian Securities Administrators to facilitate cross-border public offerings of securities between the U.S. and Canada. The Multijurisdictional Disclosure System provides Canadian issuers with attractive options for accessing the U.S. capital markets. In many securities offerings in going public transactions in the U.S., Canadian issuers can register the...


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