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Brewing Trouble?

Internet public offerings the new rage? By Mark J. Astarita, Esq. BY MARK J. ASTARITA, ESQ. 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 […]

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The SEC’s Bad Form

The SEC’s Bad Form By Mark J. Astarita, Esq. On July 5, 1996, the Securities and Exchange Commission (SEC) announced it had approved changes to Form U-4 and Form U-5 proposed by the National Association of Securities Dealers (NASD). Incredibly, the SEC received no comments during the two-month period in […]

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Old Content

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