Direct Public Offering or Reverse Merger; Know Your Best Option for Going Public
Introduction For at least the last twelve months, I have received calls daily from companies wanting to go public. This interest in going public transactions signifies a big change from the few years...
View ArticleGuide to Reverse Merger Transaction
What is a reverse merger? What is the process? A reverse merger is the most common alternative to an initial public offering (IPO) or direct public offering (DPO) for a company seeking to go public....
View ArticleThe ECOS Matter; When Is A Reverse Split Effective?
ABA Journal’s 10th Annual Blawg 100 —————————————————————————————————— In what was presumably an unintended consequence, the application of an SEC- approved FINRA regulation has resulted in a conflict...
View ArticleSEC Supports FINRA’s Rule 6490 Authority Over Corporate Actions
In two recent administrative decisions, the SEC has upheld FINRA’s broad authority under Rule 6490 to approve and effectuate corporate actions by public companies trading on the OTC Markets. One of...
View ArticleGoing Public Transactions For Smaller Companies: Direct Public Offering And...
Introduction One of the largest areas of my firms practice involves going public transactions. I have written extensively on the various going public methods, including IPO/DPOs and reverse mergers....
View ArticleNASDAQ Proposes Reverse Split Rule Changes
In July Nasdaq filed a proposed rule change with the SEC to establish listing standards related to notification and disclosure requirements of reverse splits. As of the writing of this blog, the...
View ArticleNasdaq Listing Deficiencies And Delisting– Part 2
As 2022 and 2023 have continued to be extremely tough years for the capital markets many small cap companies find themselves failing to maintain the minimum continued listing requirements. I’ve...
View ArticleNasdaq Adopts New Reverse Split Rule Change
On November 1, 2023, the SEC approved Nasdaq’s rule changes to the notification and disclosure requirements for reverse splits. The new rules went effective immediately upon approval. For the...
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