Dodd-Frank Public Companies and Securities
Reg 506(b) Offerings Continue to Dominate Regulation D Practice
Private Equity, Public Companies and Securities, Uncategorized A recent study by Crowdnetic indicates Regulation D offerings under Rule 506(b) without general solicitation continue to dominate over Rule 506(c) offerings with general solicitation. The charts beginning on page nine of the report make this apparent. Other interesting data includes: The total offering amount in 506(c) offerings, according to the Form D filings, is […] Read more →
The Auditing Roundtable Releases Guidance for Conflict Minerals IPSA Performance Audits
Public Companies and Securities Certain companies subject to the conflict minerals rules requirement must commission an independent private sector audit, or IPSA, of certain sections of the conflict minerals... Read more →
Private Companies Can Have SOX Whistleblowers Too
Employment, Litigation, Public Companies and Securities Section 806 of the Sarbanes-Oxley Act, codified at 18 U.SC. §1514A provides in part that: “No [public] company . . . , or any officer, employee, contractor, subcontractor, or... Read more →
IPOs, Tweets and FWPs
Broker-Dealer, Public Companies and Securities Fantex, offering NFL player Vernon Davis tracking stock, has taken to Twitter to promote its offering. The required legend to use a free writing prospectus, or FWP, would exceed... Read more →