Resources
Gregory Sichenzia Quoted in Private Banker International’s “Private Banking and Markets in 2024: What’s the Outlook?”
Press Release – New York, NY – December 26th, 2023 – Gregory Sichenzia, founding partner of Sichenzia Ross Ference Carmel LLP, was quoted today in an informative article by Patrick Brusnahan. The article, titled “Private banking and markets in 2024: What’s the outlook?”, outlines a clear-cut set path for banking in the new year, and…
Read MoreSichenzia Ross Ference Carmel LLP Completes 18 Transactions in Past 60 Days, Establishing Itself As One of the Most Prolific Securities Law Firms in the Country
Press Release – New York, NY – December 11, 2023 – Sichenzia Ross Ference Carmel LLP (“SRFC”), a full-service law firm internationally recognized for its securities and litigation practices, today shared a snapshot of the Firm’s activity since announcing that Sichenzia Ross Ference LLP would combine with Carmel, Milazzo & Feil to form SRFC. With…
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…
Read MoreNavigating 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…
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