The New Integration Framework under the Securities Act Gives Companies Raising Capital More Options
Recently adopted SEC regulations overhauling the integration rules and safe harbors will be helpful to companies raising capital.
Strictly Business
A legal blog on private funds, startups, and venture capital.
Strictly Business
A legal blog on private funds, startups, and venture capital.
Tag General Business Law
Is New York’s Form 99 Required When a Rule 506 Offering Has New York Investors?
For issuers using Rule 506, New York requires Rule 506 issuers to file a state-specific form called “Form 99” with the Investor Protection Bureau before selling its securities to New York investors.
Neogenix Oncology: A Good Case Study on Securities Law (Non)Compliance by a High Growth Company – Part 3: When the Genie Can’t Be Put Back in the Bottle
In my previous posts, I described the events leading up to the Chapter 11 bankruptcy and supervised asset sale of Neogenix Oncology. To recap, Neogenix’s payment of fees to unregistered “finders” to raise money in some of its earlier rounds…
Stock Options versus Stock Warrants – What’s the Difference?
I frequently hear clients and some of their advisers talk about “stock options” and “stock warrants,” and there is often considerable confusion between the two. In this post, I’ll briefly describe the major distinctions between these instruments and how each…
Neogenix Oncology: A Good Case Study on Securities Law (Non)Compliance by a High Growth Company – Part 2: What Neogenix Did
In my previous post, I described the events leading up to the Chapter 11 bankruptcy and supervised asset sale of Neogenix Oncology. To recap, Neogenix’s use of unregistered “finders” in some of its earlier rounds of financing called into question…