Reverse Mergers & Going Public — Our Firm Represents Many Public Companies
There are several different ways to go public effectively. The term “going public” can mean a few different things, including reverse mergers with public shells or the filing of an S-1 Registration Statement. Ultimately, the company going public is interested in raising capital and may or may not opt to participate in the IPO (Initial Public Offering) process. Regardless, start-up capital formation is a primary concern when going public.
This site is intended to remove the guesswork from corporate finance terms like reverse merger, public shells, market makers, 15C211, registration statement, and forward merger.
In addition, the benefits of being a public company will be clearly detailed. You will be able to fully understand that as a public company seeking to raise capital, it is also necessary to attract investor awareness while maintaining strict public company compliance.
Reverse Mergers & Ways to Go Public
If you are taking a company public, be sure to understand your options. For starters, it is typically advisable to retain the services of a securities attorney as opposed to a “going public consultant.” Ultimately, organizations holding themselves out as “going public experts” are little more than middlemen who must ultimately retain the services of a securities law firm in order to complete the necessary S-1 Registration Filings.
Contact us today. Inquiries of a technical nature are always encouraged.
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SEC Proposes Amendments To Rule 10b5-1 Insider Trading Plans
As expected from the Spring 2021 Regulatory Agenda, on December 15, 2021, the SEC proposed amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 (“Exchange Act”) to enhance disclosure requirements and investor protections against insider trading. Although there is a statutory framework, the laws surrounding insider trading are largely based on judicial precedence and are... More
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SEC Issues Guidance On Spring-Loaded Compensation Awards
On November 29, 2021, the SEC issued accounting guidance on the recognition and disclosure of “spring-loaded awards” made to executives. A spring-loaded award is a share-based compensation arrangement where a company grants stock options or other awards shortly before it announces market-moving information such as an earnings release with better-than-expected results or the disclosure of a significant... More
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Update On Nasdaq And NYSE Direct Listings
The rules related to direct listings continue to evolve as this method of going public continues to gain in popularity. The last time I wrote about direct listings was in September 2020, shortly after the SEC approved, then stayed its approval, of the NYSE’s direct listing rules that allow companies to sell newly issued primary shares on... More
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SEC Adopts The Use Of Universal Proxy Cards
On November 17, 2021, the SEC adopted final rules requiring parties in a contested election to use universal proxy cards that include all director nominees presented for election at a shareholder meeting. The original rules were proposed on October 16, 2016 (see HERE) with no activity until April, 2021, when the SEC re-opened a comment period (see HERE). The rule adoption comes with... More
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Nasdaq Updated LAS Form
Effective September 17, 2021, Nasdaq updated its Listing of Additional Shares (LAS) Form and the process for the review of such forms.BackgroundNasdaq Rule 5250 sets forth certain obligations for companies listed on Nasdaq including related to requirements to provide certain information and notifications to Nasdaq, make public disclosures, file periodic reports with the SEC, and distribution of annual and interim reports. Rule... More