Rule 12b-25 Q & A l Securities Lawyer 101
Going Public Lawyer Securities Lawyer 101 Blog Accelerated filers, non-accelerated filers and smaller reporting companies occasionally have difficulty meeting the Securities and Exchange Commission’s...
View ArticleForm 10-Q Requirements l Securities Lawyer 101 Blog
Going Public LawyerSecurities Lawyer 101 Blog Public companies with a class of securities registered under Section 12 or subject to Section 15(d) of the Securities Exchange Act of 1934, as amended (the...
View ArticleReporting Obligations After Form S-1 l Securities Lawyer 101 Blog
Going Public Lawyer Securities Lawyer 101 Blog Once the SEC staff declares your company’s Securities Act registration statement effective, the company becomes subject to Exchange Act reporting...
View ArticleForm 10-K Deadlines l Securities Lawyer 101
Going Public LawyerSecurities Lawyer 101 Blog A public company must file an annual report on Form 10-K following the end of each of its fiscal year. The first Form 10-K deadline is 90 days after the...
View ArticleSection 302 and 906 Certifications l Brenda Hamilton Attorney
Going Public Lawyer Securities Lawyer 101 Blog Chief Executive Officers (“CEO”) and Chief Financial Officers (“CFO”) of public companies must certify the issuer’s annual report on Form 10-K and...
View ArticleBeing Publicly Traded By: The Going Public Lawyers
Going Public LawyerSecurities Lawyer 101 Blog After an issuer completes its going public transaction, an issuer that has filed a registration statement for an initial or direct public offering under...
View ArticleSEC Periodic Reporting & Compliance
Going Public Lawyer Securities Lawyer 101 Private and Publicly traded companies that are reporting with the SEC must file reports periodic reports. Not all publicly traded companies are required to...
View ArticleCompany Website Requirements for Periodic Reports
Going Public LawyerSecurities Lawyer 101 Blog It has become almost routine for publicly traded companies to use their websites to provide information to investors. In going public transactions, the...
View ArticleOfficer and Director Disclosure of Background Matters
Going Public LawyerSecurities Lawyer 101 Blog The securities laws require that public companies provide disclosure about the backgrounds of its officers and directors and describe certain material...
View ArticleDisclosure Controls and Procedures l Brenda Hamilton Attorney
Going Public LawyerSecurities Lawyer 101 Blog To back up the officer and director certifications in periodic reports, issuers must establish and maintain a system of disclosure controls and procedures...
View ArticleForm 10-K Exhibits l By Brenda Hamilton Securities Lawyer
Going Public LawyerSecurities Lawyer 101 Blog Some of the most valuable sources of information about a public company are Form 10-K exhibits. Item 601 of Regulation S-K identifies the documents to be...
View ArticleSection 15-d Reporting l Securities Lawyer 101
Going Public LawyerSecurities Lawyer 101 Blog Upon completion of a going public transaction, an issuer that has registered equity or debt securities in an initial or direct public offering registered...
View ArticleWhat is the Difference Between Form 10 and Form S-1 Registration Statements?
Going Public LawyerA registration statement on Form S-1 registers specific securities of a company. Form S-1 can used to register shares for a company to sell to investors, specific shares for the...
View ArticleSEC Sanctions 10 Issuers for Form 8-K Failures
Going Public LawyerOn November 5, 2014, the Securities and Exchange Commission (the “SEC”) announced enforcement actions against 10 companies for failing to file Current Reports on Form 8-K disclosing...
View ArticleHow Form S-1 and Form 10 Registration Statements Are Different
Going Public LawyerGoing public often refers to the process of a company filing a registration statement under the Securities Act of 1933, as amended to register securities for public sale. Unlike a...
View ArticleForm 8-K Disclosure of Shareholder Meetings
Going Public LawyerCompanies with a class of securities registered under the Securities Exchange Act of 1934, as amended are required to file periodic reports with the Securities and Exchange...
View ArticleWhat Is Periodic Reporting? Going Public Lawyers
Going Public LawyerOnce the staff of the Securities and Exchange Commission (“SEC”) declares a company’s registration statement on Form S-1 effective under the Securities Act of 1933, as amended (the...
View ArticleSEC Periodic Reporting – Going Public Lawyers
Going Public LawyerCompanies become subject to the SEC’s periodic reporting requirements a number of ways including by filing a registration under the Securities Act of 1933, as amended or pursuant to...
View ArticleLate SEC Filers 101 – Going Public Attorneys
Going Public LawyerIt is that time of year again when SEC filers with a December 31 year end, must file their annual report on Form 10-K. Recent enforcement actions against SEC filers and insiders for...
View ArticleSEC Periodic Reports – Going Public Attorneys
Going Public LawyerIssuers become subject to the SEC’s periodic reporting requirements a number of ways including by filing a registration under the Securities Act of 1933, as amended or pursuant to...
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