The need to raise capital in the public equity markets is an ongoing fact of life for many, if not most, publicly traded life science companies. Indeed, having access to the public markets to help finance research and development is one of the principal benefits of going public. In pursuing such financings, companies must be aware of certain rules and regulations promulgated by the securities exchanges and by the Securities and Exchange Commission (SEC) that can limit the size of financing transactions. By understanding and addressing these rules in advance, companies can seek to structure a financing transaction in a manner that can maximize the amount of funds that can be raised.

The two rules we will be addressing in this advisory are as follows...

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