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Industry Articles

Five Benefits of Going Public by Reverse Merger with a Public Shell

Learn about the five benefits of going public by reverse merger Article Detail

Investor Relations (IR) Firms and Disclosures Examined

Many companies offer Investor Relations (“IR”) services to public companies and related marketing services. Such services generally will include assistance in the preparation and dissemination of press releases and stockholder communications. Services may also include, without limitation, consulting with the … Article Detail

Business Development Companies (BDC’s) Examined

Venture capital funds have traditionally been available only to institutions and wealthy individuals through private placements. Concerns about the possible applicability of the Investment Company Act of 1940 (the “1940 Act”) was avoided by limiting participation to 100 or fewer … Article Detail

Firing the CEO – How a Public Relations Strategy Can Limit the Damage

By David Weiner, MBA and Aaron E. Boles, LL.B. We’re in the era of permanent change, and CEOs are fair game for the chopping block, as organizations everywhere constantly overhaul their operations to become more competitive. Where corporate leaders once … Article Detail

Ten Commandments Can Save Brokers a Fortune by Eliminating Arbitrations Before They Occur

It’s 3:45 p.m. on any particular 15th of the month, the end of the pay period. You have $27,500 gross in and need an additional $2,500 in commission to hit your breakpoint. It means the difference between a 35% payout … Article Detail

Shareholders Must Understand Their Rights to Inspect the Companies They Invest In

The purpose of this Article is to clarify and delineate the seemingly insurmountable tangle of sharereholder’s inspection rights, and to examine Florida Courts’ interpretations of these rights. Although Florida publicly-traded reporting companies are equally bound by the provisions of the … Article Detail

Understanding the Arbitration Process Can Alleviate Stress, Financial Devastation and Make You a Better Broker

Some of the worst days of your life start with a trip to the mailbox. You’ve got the usual 100 or so things on your mind as you head to the mailbox after an exceptionally productive day at the office. … Article Detail

Standardizing Methods of Allocating Attrition Can Help Manage Discrimination Suits from Brokers

If one was to search for the origins of the adage “Lion’s get fed” they would most likely discover that it was spawned somewhere ions ago at some brokerage firm by the stereotypical slick, rhino-skinned sales manager as he distributed … Article Detail

A Brief Look at the Dynamics of a Private Offering

A company can conduct a private offering through a non-public limited offering, either under Section 4(2) of the Securities Act of 1933 or Regulation D (under either Rule 505 or Rule 506). To ensure that an offering is “non-public” and … Article Detail

Consideration Regarding PIPE Financing

A PIPE (Private Investment into Public Entity) refers to any private placement of securities of an already-public company that is made to selected accredited investors who enter into a purchase agreement committing them to purchase securities and, usually, requiring the … Article Detail

Q&A on Corporate Ethics Under the Sarbanes-Oxley Act

1. Who cannot receive personal loans from a company? Executive officers and directors – and their spouses, minor children, trusts, and similar entities. An “executive officer” is not covered under the Sarbanes-Oxley Act. Most practitioners believe the definition encompasses the … Article Detail

Public Communications Throughout the Public Offering Process

The federal securities laws require that a Company carefully monitor and control its public communications throughout the public offering process. Federal securities laws place significant restrictions on the types of publicity and communications that a Company may issue while it … Article Detail