An oxymoron? It may appear that way unless you are the subject of an SEC investigation. The regulatory defense practice area at our firm has seen a significant uptick in activity over the last few years, which was inevitable…more
FINRA Rule 6490 was approved by the Securities and Exchange Commission on July 1, 2010, with the stated purposes of adopting rules to prevent fraudulent and manipulative acts and practices, promote just and equitable principles…more
As an attorney that works with many smaller public companies, and the providers that service them, I have a good feel for what concerns smaller public companies. Unlike in years past, many smaller public companies are feeling…more
This article is the second in a series of two articles. This second article takes a look at the costs for a private company to go public and then the cost of being a public company, so companies considering going public to take…more
This article is the first in a series of two articles that will analyze the financial costs to be a public company, and the financing opportunities that public companies have over private companies. The impetus for both…more
In the middle of last year I authored a two-article series entitled Can Your Company Afford to Become (Stay) a Public Company?..... Can It Afford Not To? (see The Isolated Offering June 2010 and August 2010 editions) wherein I…more
With so many shells available and the number of interested private vend-in companies growing
why aren’t more shell transactions closing?
For shareholders of companies that are, or ever were, shell companies, and which are not currently Exchange Act reporting companies, the amendments to Rule 144 in February 2008 have been devastating. Could a change be…more
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