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Navigating Nasdaq Annual Meeting Rules: A Guide for Companies and Legal Counsel
As a legal professional, it’s important to stay up-to-date on the rules and regulations that govern annual meetings of companies listed on the Nasdaq Stock Market. Failure to comply with these rules can result in significant legal and financial consequences for the company and its directors. Here are some of the key Nasdaq annual meeting…
Read MoreStaying Compliant: A Guide to Understanding the SEC’s Executive Compensation Rules for Public Companies and Their Legal Counsel
As a legal professional, it’s important to stay up-to-date on the SEC’s executive compensation rules that govern public companies. Failure to comply with these rules can result in significant legal and financial consequences for the company and its directors. Here are some of the key elements of the SEC’s executive compensation rules that companies and…
Read MoreListing on the NYSE American: Understanding the Key Listing Standards
As a company, maintaining a listing on the NYSE American can provide valuable access to capital markets, investors, and other benefits. However, this also means that the NYSE American has certain standards and requirements that companies must meet to maintain their listing. Failure to meet these standards may result in delisting from the exchange, which…
Read MoreUnderstanding the 10-Q Report: A Comprehensive Guide
As a publicly traded company, you are required to file various reports with the Securities and Exchange Commission (SEC) to keep investors informed about your financial position and performance. One such report is the 10-Q report, which is a quarterly report that provides a comprehensive update on your financial performance and operations. In this blog…
Read MoreBeginner’s Guide to the IPO Process
The Initial Public Offering (IPO) Process An initial public offering (IPO) is when a private company becomes public by selling its shares on a stock exchange. This is a major event for any company, as it allows them to raise capital from the public and become a listed company. The IPO process can be a…
Read MoreA Baby Shelf on Form S-3: What You Need to Know
A baby shelf is a provision of Form S-3 that allows companies to register securities for sale up to one-third of their public float over a 12-month period. This can be a useful option for companies that want to raise capital from the public but do not want to have to file a new registration…
Read MoreNasdaq Listing Tiers: A Guide for Companies
Nasdaq is one of the largest stock exchanges in the world, and it offers three tiers of listing for companies: Global Select Market, Global Market, and Capital Market. Each tier has its own requirements, and companies must meet certain standards to list on a particular tier. The Capital Market is the lowest tier, and it…
Read MoreWhat is a 10-K and Why Should You Care?
A 10-K is an annual report filed with the Securities and Exchange Commission (SEC) by a publicly traded company. It provides a comprehensive overview of the company’s business and financial condition, including audited financial statements. If you’re an investor, you should care about 10-Ks because they provide you with important information about the companies you’re…
Read MoreNasdaq Delisting: What You Need to Know
Nasdaq is one of the largest stock exchanges in the world, and it is home to some of the most well-known companies in the world. However, even companies that are listed on Nasdaq can be delisted if they fail to meet the exchange’s listing standards. There are a number of reasons why a company might…
Read MoreWhat is a PIPE? Private Placement in a Public Entity
A private placement is when a public company sells securities (shares, bonds, etc.) to a small group of investors, rather than selling them to the general public through an initial public offering (IPO). This type of financing can be a good option for public companies that need to raise capital quickly or that want to…
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