The Law of the Financial Markets from Top Securities Lawyers
Wednesday, November 30, 2022
New Jersey’s Largest Civil Monetary Recovery…Ever. October 17, 2022 – The Office of the Attorney General announced today that the New Jersey Bureau of Securities has reached a $495 million agreement in principle with Credit Suisse Securities (USA) LLC, Credit Suisse First Boston Mortgage Securities Corp., and DLJ Mortgage Capital, […]
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, […]
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, […]
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 […]
March 16, 2022 — The SEC announced charges, and a settlement of those charges with Crosby Independent School District (Crosby ISD) and its former Chief Financial Officer, Carla Merka. They were charged with misleading investors in the sale of $20 million of municipal bonds in order to pay its outstanding […]
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 […]
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 […]
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 […]
