Legal Articles, Contract

Exempt Direct Public Offering Insights

One of the most important aspects of the going public process involves deciding the terms of the offering that will be presented to investors. The terms of a company's offering could have future impacts on your business.

Preparing and Filing SEC Form D

Regulation D under the Securities Act of 1933, as amended (the “Securities Act”) provides exemptions that permit a company to offer and sell its securities without complying with the registration statement requirements of the Securities Act if certain conditions are met.

Social Media and Being Publicly Traded

Publicly traded companies are increasingly using their company websites and the social media to communicate information to the public. Investors are increasingly turning to electronic media as a principal source of information about publicly traded companies.

EB-5 Source of Funds Requirement

The EB-5 visa program grants foreign investors a green card for themselves and their immediate family in exchange for a capital investment of at least $500,000 in a qualified U.S. business enterprise. To qualify under the EB-5 program, a foreign investor has two options.

Investor Relations Firm Employee Indicted

On August 26, 2014, the U.S. Attorney’s Office for the Southern District of New York announced charges against Michael Anthony Dupre Lucarelli.

FINRA proposes Pilot Program to Widen Ticket Sizes

The "SEC" announced that the national securities exchanges and the Financial Industry Regulatory Authority ("FINRA") filed a proposal to establish a national market system plan to implement a 12-month pilot program to widen tick sizes for certain stocks with smaller capitalization.

Rule 144's Currenet Public Information Requirement

One of the requirements of Rule 144 is that the issuer have current public information available to the public at the time of the resale.

S-Corp or C-Corp: How do you decide?

The first business formation task is to determine what kind of business entity should be used. S-Corps and C-Corps have unique differences.

YOU CAN STILL RECOVER THE FULL AMOUNT OF YOUR MEDICAL BILLS EVEN IF INSURANCE OR WORKERS' COMP PAID THEM

Even if your medical bills have been paid by insurance or Workers' Compensation, you can still recover the full amount of your medical bill.

Fraud-on-the-Market Theory Questioned

Fraud on the Market Theory Questioned

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