Posts Tagged ‘SEC’
Sichenzia Ross Ference Carmel LLP Ranked Number One Most Active Issuer Counsel Among Securities Law Firms Nationwide in PlacementTracker’s PIPE and Private Placement Markets League Tables for 2024
NEW YORK, Jan. 29, 2025 — Sichenzia Ross Ference Carmel LLP (“SRFC”) announced today that it was named the number one “most active” securities law firm for Confidentially Marketed Public Offerings, Registered Direct, Private Placement, and At-the-Market (ATM) Offerings in PlacementTracker’s 2024 PIPE and Private Placement Markets League Tables, with 42 transactions, totaling $241.7 million.…
Read MoreSichenzia Ross Ference Carmel LLP Closes Over 130 Capital Markets Transactions Valued at Over $1 Billion in 2024
NEW YORK, Jan. 28, 2025 — Sichenzia Ross Ference Carmel LLP (“SRFC”), a full-service law firm internationally recognized for its securities and litigation practices, reported that in 2024 it closed over 130 transactions, ranging from $400,000 to $85 million, with the total value of these transactions surpassing $1 billion, surpassing its strong performance in 2023 by…
Read MoreSEC 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…
Read MoreSEC Issues New Cybersecurity Rule, In Effect For December 31st Year End Companies
On July 26, 2023, the Securities and Exchange Commission issued the Final Rule on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure (the “Cybersecurity Rule”). The Cybersecurity Rule requires public companies to disclose both material cybersecurity incidents they experience and, on an annual basis, material information regarding their cybersecurity risk management, strategy, and governance. Companies…
Read MoreSEC Issues New SPAC/De-SPAC Rules: A Definitive Guide
On January 24, 2024, the Securities and Exchange Commission (“SEC”) adopted final rules relating to special purpose acquisition companies (“SPACs”). This email just touches on the material aspects of the final rules which consist of 581 pages. You can see the final rule here: https://www.sec.gov/files/rules/final/2024/33-11265.pdf Definitions: “De-SPAC transaction” means a business combination, such as a…
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 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 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 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 MoreImplications of United States Broker-Dealer Regulations on Securities Tokens Transactions
Introduction Security token transactions have become rather common in day-to-day operations with regard to both initial private and public offerings and secondary markets. As a result of the active position of the United States Securities and Exchange Commission (the “SEC”) in setting the regulatory framework for securities offerings by means of distributed ledger technology, blockchain…
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