Category: Securities Law

The importance of a reporting company may be self evident in that a potential merger or acquisition candidate can learn of outstanding liabilities, pending or

All offers or sales of securities must either be registered or qualify for an exemption from registration. Sections 3 and 4 of the Securities Act

One of the methods of going public is directly through a public offering.  In today’s financial environment, many Issuers are choosing to self-underwrite their public

Private Investment in Public Equity Over the past decade, PIPE transactions have gained tremendous popularity as a reliable source of financing for many over the

Introduction A recent article in the Wall Street Journal by Ruth Simon revealed that, “Roughly a year after the passage of new rules making it