• Contact Information

    Laura Anthony, Attorney
    Legal & Compliance, LLC
    330 Clematis Street, Ste. 217
    West Palm Beach, FL 33401

    Toll Free: 1.800.341.2684
    Phone: 561.514.0936
    Fax: 561.514.0832

  • 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.

     

    More


    • SEC Continues to Review, And Delay, Crypto Funds
      Posted by Securities Attorney Laura Anthony | May 22, 2018
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      On January 18, 2018, the SEC issued a letter to the Investment Company Institute and the Securities Industry and Financial Markets Association (SIFMA) explaining why the SEC could not approve a cryptocurrency-related exchange traded fund (ETF) or mutual fund. The letter, authored by SEC Division of Investment Management director Dalia Blass, explains the SEC’s reservations...  



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    • OTC Markets Makes Several Regulatory Recommendations
      Posted by Securities Attorney Laura Anthony | May 15, 2018
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      On March 8, 2018, Cromwell Coulson, CEO of OTC Markets Group, made a presentation to the SEC’s Investor Advisory Committee (“IAC”) as part of a panel on “Discussion of Regulatory Approaches to Combat Retail Investor Fraud.” During the meeting, Mr. Coulson discussed the most serious market risks and presented a list of 14 OTC Market’s...  



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    • Going Public Without An IPO
      Posted by Securities Attorney Laura Anthony | May 8, 2018
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      On April 3, 2018, Spotify made a big board splash by debuting on the NYSE without an IPO. Instead, Spotify filed a resale registration statement registering the securities already held by its existing shareholders. The process is referred to as a direct listing. As most of those shareholders had invested in Spotify in private offerings,...  



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    • ABA Comment Letter On Disclosures Under Regulation S-K
      Posted by Securities Attorney Laura Anthony | May 1, 2018
      Tags:

      In December 2017, the American Bar Association (“ABA”) submitted its fourth comment letter to the SEC related to the financial and business disclosure requirements in Regulation S-K.  Like the SEC’s ongoing Disclosure Effectiveness Initiative, the ABA has a Disclosure Effectiveness Working Group as part of its Federal Regulation of Securities Committee (of which I am...  



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    • What is a SAFT?
      Posted by Securities Attorney Laura Anthony | April 24, 2018
      Tags:

      A Simple Agreement for Future Tokens (“SAFT”) is an investment contract originally designed to provide a compliant alternative to an initial coin offering (ICO).  A SAFT as used today was intended to satisfy the U.S. federal securities laws, money services and tax laws and act as an alternative to an ICO when the platform and...  



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