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SEC 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…

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Sichenzia Ross Ference Carmel LLP Closes Over 100 Capital Markets Transactions Valued At Over $700 Million in 2023

SRFC further demonstrated its presence by representing organizations on IPOs, public and private offerings, and other market activity in 2023. New York, NY – February 8th, 2024 – Today, Sichenzia Ross Ference Carmel LLP (“SRFC”), a full-service law firm internationally recognized for its securities and litigation practices, announced that it has closed over 100 transactions,…

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Is The IPO Market Back In Business?

As written by Gregory Sichenzia and originally published by Crunchbase. It’s difficult to determine who is watching the IPO market closer: investors or startups. From a high level, the consensus appears to be that with interest rates set to recede at some point in the first half of 2024, coupled with the resiliency of the…

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