Resources
The 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 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 MoreClient Alert: New York Adopts Revised Regulations for Individuals of Registered Investment Advisers
OVERVIEW In an effort to modernize its registration function, to better conform to the federal securities registration regime, to cure industry confusion as to certain registration requirements and to better track exam requirement compliance of thousands of investment adviser representatives (“IARs”) providing investment advice to New Yorkers, the New York Investor Protection Bureau of the…
Read More2020 Income Tax Rates and Deductions
Sichenzia Ross Ference has prepared a tax chart showing all proposed tax changes under Biden vs. current under Trump. It is a downloadable PDF titled “2020 Income Tax Rates and Deductions” that you can access by clicking the link below. Click here for 2020 income tax rates and deductions This material has been prepared…
Read More60 Days And Counting: “Regulation Best Interest” Is Nearly Here. Are Independent Broker-Dealers Ready? What They Need to Know and Do
On June 5, 2019, the United States Securities and Exchange Commission (“Commission”) adopted Rule 15l-1 (“Regulation Best Interest”) under the Securities Exchange Act of 1934 (“Exchange Act”), which has a compliance date of June 30, 2020.[1] Regulation Best Interest became effective September 10, 2019. Notwithstanding the host of issues arising from the global pandemic, an…
Read MoreSRF CLIENT ALERT: Major Changes for Your IRA Account
Congress has made major changes for IRA accounts effective January 1, 2020: The End of the Stretch IRA Before 2020, anyone who inherited an IRA account was able to delay taking distributions from it over the course of his or her lifetime. This frequently enabled the IRA beneficiary to stretch out the mandatory withdrawals over…
Read MoreTime to Make a Personal Estate Plan for Your (Financial) Exit or IPO
Your years of hard work have finally come to fruition. Your company is going to go public or your business is going to be sold and what was once a dream is now about to become a reality. This is the time when many entrepreneurs make million-dollar mistakes and forget about their partner Uncle Sam. …
Read MoreCalifornia Law Requiring Public Companies to Include Women on Board of Directors
Please find below an overview of California Senate Bill 826 (the “Bill”) which requires publicly held domestic and foreign corporation with principal executive offices located in California to include women on their boards of directors (the “Female Director Requirement”). not assigned california | Female board of directors
Read MoreClient Alert: U.S. Senate and House of Representatives Approve 2018 Farm Bill
The long-awaited resurgence of the Agriculture Improvement Act of 2018, colloquially referred to as the 2018 Farm Bill, became more promising yesterday as its latest iteration received overwhelming bipartisan approval as it decidedly passed through the Senate on Tuesday, by a vote of 87-to-13, and easily passed through the House of Representatives, by a vote…
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