Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Friday, February 28, 2014

Section 16 Reporting & Going Public Transactions

Securities Lawyer 101 Blog Once the SEC staff declares a company’s  Form S-1 registration statement effective in a going public transaction, the company becomes subject to Exchange Act reporting requirements even if it does not have its ticker symbol. Many issuers are not aware of the disclosure requirements that apply upon effectiveness of a Form S-1 Registration Statement. Section 16 Section 16(a) of... Read More

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