Blog
The PIPEs Conference (A Dealflow Event): November 13-14, 2024
Sichenzia Ross Ference Carmel LLP partners Gregory Sichenzia and Ross Carmel will speak at this year’s PIPEs Conference, a DealFlow Event, at the Hard Rock Hotel & Casino in Hollywood, Florida. Join Greg and Ross to explore the evolution of the PIPE market, regulatory updates, and market trends. For 20 years, the DealFlow team has…
Read MoreSEC Rules 3a5-4 and 3a44-2
On February 6, 2024, the Securities and Exchange Commission adopted new Rules 3a5-4 and 3a44-2 (“Final Rules”) that interpret Sections 3(a)(5) and 3(a)(44) of the Securities Exchange Act of 1934 (“Exchange Act”) which provide the definitions of “dealer” and “government securities dealer,” respectively. For any person that owns or controls at least $50 million in…
Read MoreSichenzia Ross Ference Carmel LLP to Sponsor EF Hutton’s Annual Global Conference
Sichenzia Ross Ference Carmel LLP is pleased to announce that it will be sponsoring EF Hutton’s Annual Global Conference, showcasing multiple public and private companies across multiple industries in an intimate setting.
Read MoreTonight: Sichenzia Ross Ference Carmel LLP to Sponsor St. Jude’s “Wall Street Taste of New York”
Sichenzia Ross Ference Carmel LLP is pleased to announce that it will be sponsoring 50 Women 50 On Board’s Conference. titled “The New York City Conversation on Board Diversity”. The conference will take place in person on Tuesday, November 7th, 2023, at the EY Headquarters in New York, NY.
Read MoreSichenzia Ross Ference Carmel LLP to Sponsor 50 Women 50 On Boards
Sichenzia Ross Ference Carmel LLP is pleased to announce that it will be sponsoring 50 Women 50 On Board’s Conference. titled “The New York City Conversation on Board Diversity”. The conference will take place in person on Tuesday, November 7th, 2023, at the EY Headquarters in New York, NY.
Read MoreUnderstanding the Differences Between NQSOs and ISOs: A Guide for Companies
Stock option plans can be a valuable tool for companies to attract and retain talented employees, consultants, and other non-employee service providers. When implementing a stock option plan, it is important to understand the differences between Non-Qualified Stock Options (NQSOs) and Incentive Stock Options (ISOs) to determine which option is best suited for your company’s…
Read MoreWhat Is a 424(b) Filing and Why Is It Important?
If your company is planning to go public or conduct a securities offering in the United States, you’ll need to file a 424(b) prospectus with the Securities and Exchange Commission (SEC). This filing is required under the Securities Act of 1933 and provides important information to potential investors about the securities being offered and the…
Read MoreUnderstanding 8-K filings: What they are and why they matter
If you’re an investor in publicly traded companies, you’ve likely heard of an 8-K filing. But what exactly is an 8-K, and why is it important for investors to pay attention to them? In this blog post, we’ll provide an overview of 8-K filings and their significance, so you can make informed investment decisions. What…
Read MoreReverse Mergers into OTC Companies: Process, Documents, and Timing
A reverse merger into an OTC company can be an attractive option for private companies seeking to go public quickly and at a lower cost. However, it is important to understand the process, documents, and timing involved in this type of transaction to ensure that it is executed successfully and in compliance with regulatory requirements.…
Read MoreUnderstanding Emerging Growth Company Status: Advantages and Disadvantages
As a small business looking to go public, you may have heard of the term “Emerging Growth Company” or EGC. Under the Jumpstart Our Business Startups (JOBS) Act of 2012, companies that meet certain criteria are eligible for EGC status. In this blog post, we’ll explore the requirements to be an EGC, the advantages and…
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