Legal Articles, Business Organization
Officer and Director Disclosure of Background Matters
The securities laws require that public companies provide disclosure about the backgrounds of its officers and describe certain material information that is “material to an evaluation of the ability or integrity of any director, person nominated to become a director or executive officer.
Can I Raise Money From Investors Who Are Not “Accredited Investors”? Introducing The Slo-PO Method
A question we frequently receive from entrepreneurs raising capital for the first time is whether can raise money from people who do not meet the U.S. Securities and Exchange Commission ("SEC") definition of an “accredited investors.”
SEC Comment and Review Process l Going Public Bootcamp
The Securities and Exchange Commission's (the "SEC's") Division of Corporation Finance reviews filings including registration statements filed pursuant to the Securities Act of 1933.
Prospectus Disclosure Requirements in Going Public Transactions
Private companies which offer and sell their securities to the public before completion of a going public transaction are subject to the same requirements under the Securities Act of 1933.
Seed Stockholders l Going Public l Securities Lawyer 101
The going public process involves a number of steps that vary depending on the characteristics of the private company wishing to go public, and whether it will become a Securities and Exchange Commission ("SEC") reporting issuer.
Getting Skin in the Game: How to Provide Stock Compensation to Employees
Providing common stock to employees is likely to raise their loyalty to the company because, as a stockholder, they have skin in the game and should want to see the company succeed and their investment grow.
Oh the Place You Will Go When Going Public
The going public process involves a myriad of rules and regulations that issuers must consider before structuring their transactions.
Reefer Madness Continues As More Are Indicted In Pot Stock Scams
On August 5, 2014, the Attorney’s Office for the Western District of Washington announced criminal charges against Mikhail Galas, Alexander Hawatmeh, and Christopher Mrowca in connection with two heavily touted pot stocks, Growlife and Hemp, Inc., and several other penny issues.
Crucible Capital and Chuck Moore Indicted for Obstructing SEC Investigation
On August 9, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against Chuck Moore and Crucible Capital Group, a New York-based brokerage firm for allegedly violating net capital requirements and falsifying books and records to conceal the capital deficiencies.
SEC Charges Julian Brown and Bahamian Brokerage Firm, Alliance Investment Management
On August, 8, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against Julian Brown and his firm Alliance Investment Management Limited (AIM).
