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Going to the ATM. At the Market Public Offering
An at-the-market (ATM) offering is a type of secondary offering whereby a public company sells its existing shares directly to the market at prevailing market prices through a broker-dealer. The company can sell shares through an ATM offering at any time, and the amount of shares sold can vary depending on the company’s needs. ATM…
Read MoreA Confidentially Marketed Public Offering (CMPO)
A confidentially marketed public offering (CMPO) is a type of public offering that allows a company to raise capital without having to file a prospectus or obtain shareholder approval. In a CMPO, the company sells shares directly to institutional investors without any general solicitation or advertising. CMPOs are a relatively new type of offering, but…
Read MoreDe-SPAC: A Guide to the Process
A de-SPAC, also known as a reverse merger, is a process by which a special purpose acquisition company (SPAC) merges with a private company to take it public. The SPAC raises money from investors by selling shares in its initial public offering (IPO). The SPAC then uses the proceeds from the IPO to acquire a…
Read MoreListing Requirements for a Nasdaq IPO: What Companies Need to Know
Going public through an initial public offering (IPO) can be an exciting and rewarding time for companies. It’s a significant milestone in a company’s growth and can provide access to additional capital and increased visibility in the marketplace. However, the process of going public can be complex and requires careful planning and execution. In this…
Read MoreThe IPO: Form S-1 vs. Form F-1
Preparing for an initial public offering (IPO) is a complex process that requires careful planning and execution. One of the key components of an IPO is filing a registration statement with the Securities and Exchange Commission (SEC). There are two types of registration statements that companies can file: Form S-1 and Form F-1. In this…
Read MoreUnderstanding Secondary Offerings: A Comprehensive Guide for Companies and Shareholders
As a lawyer, I often get asked about secondary offerings and the process involved in conducting one. In this blog post, I will provide a detailed overview of what a secondary offering is, the documents and steps involved in the process, and the timing considerations that should be taken into account. What is a Secondary…
Read MoreSichenzia Ross Ference to Sponsor Gravitas Securities 6th Annual Growth Conference
Sichenzia Ross Ference LLP is pleased to announce that it will be sponsoring Gravitas Securities 6th Annual Growth Conference, which will take place in person on Thursday, March 2, 2023, at the Fairmont Pacific Rim Hotel in Vancouver, BC. This event will feature some of the most prominent names in the small-cap community and include…
Read MoreMemorandum RE: Pay v. Performance Disclosure Rules
Item 402(v) of Regulation S-K On August 25, 2022, the Securities and Exchange Commission (SEC) adopted Item 402(v) of Regulation S-K, requiring companies to provide certain “pay versus performance” disclosures regarding the relationship between executive compensation actually paid and the company’s financial performance in any proxy statement or information statement for which Item 402 executive…
Read MoreMJDS Allows Canadian Issuers Easy Access to the U.S. Capital Markets
Overview The Multijurisdictional Disclosure System (“MJDS”) adopted by the Securities and Exchange Commission (the “SEC”) and the Canadian Securities Administrators provides Canadian issuers a streamlined opportunity to more easily gain access to U.S. Capital Markets for both financing needs and other strategic reasons, including the opportunity for Canadian issuers to be listed on a U.S.…
Read MoreNew York State’s Marijuana Regulation and Taxation Act
On March 30, 2021, the New York State Assembly and State Senate approved the Marijuana Regulation and Taxation Act (MRTA) legalizing, taxing, and regulating recreational marijuana in New York State. The following day, the Governor signed MRTA into law, marking the end of the battle between lawmakers over recreational cannabis in New York, and setting…
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