Public Offerings

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Small Business Advisory Committee to Host Meeting to Discuss Entrepreneurship Hubs and the IPO Market

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Thursday, Oct. 13, which will address entrepreneurship hubs and recent trends in taking a company public. Members of the public can watch the live meeting via webcast on www.sec.gov. The Committee, […]

otc markets
Brokers Corp Finance Primer Public Offerings

OTC Markets

The over-the-counter market is where securities which do not trade on an exchange are traded. Securities traded on the this market are typically from smaller companies that do not meet the listing requirements from the exchanges. The OTC market is the default exchange for some securities, like corporate bonds. Alternatively, […]

going public
Public Offerings

First Steps to Going Public

Most entrepreneurs ultimately seek to go public, which increases the company’s access to cash, and enhances the status of the company. However, the decision to go public is not an easy one, and doing so requires careful planning, and the right groups of advisers. The NASDAQ has an excellent overview […]

Corp Finance Public Offerings

Public Offering Legal Center

Going Public Introduction While going public offers many benefits it also comes with risks and regulations with which can become complicated, and compliance can be expensive. Despite the risks and costs, the U.S. capital markets remain one of the most attractive sources of financing in the world. Going public is […]

Public Offerings

Spring Street Paves the Way

Spring Street Paves the Way By Mark J. Astarita, Esq. IN JULY’S COLUMN, WE ADDRESSED THE “INTERENT OFFERING,” a public securities offering on the Internet usually conducted by the issuer without using an underwriter. Since then, broker/dealers and issuers have begun using the Internet in connection with Regulation A offerings […]

Corp Finance Public Offerings

LAW REVIEW: BREWING TROUBLE?

  INTERNET OFFERINGS CAN RESULT IN A DOUBLE WHAMMY: AN IPO BY INEXPERIENCED BROKERS IN A COMPANY WITH NO FUNDAMENTALS By now, you’re probably aware of Spring Street Brewing’s successful initial public offering completed last year. The company conducted a self-underwriting almost entirely on the Internet and then commenced trading of its securities on its Internet World […]