STRUCTURING THE PRIVATE PLACEMENT INVESTMENT –DEVELOPMENT STAGE OR START UP...
The question: As the economy has been gaining strength, so have the number of entrepreneurs seeking private equity investments through pre-packaged structured private placement offerings, and...
View ArticleSTRUCTURING THE PRIVATE PLACEMENT INVESTMENT –THE FORM OF THE INVESTMENT
I recently blogged about how to determine valuation in a start-up or development stage entity for purposes of structuring a prepackaged private placement, or for negotiating the venture capital...
View ArticleSTRUCTURING THE PRIVATE PLACEMENT OR VENTURE INVESTMENT – PRE-DEAL...
I recently blogged about how to determine valuation in a start-up or development stage entity for purposes of structuring a prepackaged private placement, or for negotiating the venture capital...
View ArticleNew FINRA Rule 5123 Takes Effect Requiring Notice of Private Placements by...
The Financial Industry Regulatory Authority has adopted new Rule 5123 requiring members to file notice of their participation in private placements. The Rule took effect on December 3rd 2012. The new...
View ArticleThe Section 4(a)(1) And 4(a)(1½) Exemption; Recommendations For An Amendment...
What are the Section 4(a)(1) and Section 4(a)(1½) exemptions, and how do they work? Section 4(a)(1) of the Securities Act of 1933 (“Securities Act”) provides an exemption for a transaction “by a person...
View ArticleFINRA Proposes Amendments To The Corporate Financing Rules
On April 11, 2017, the Financial Industry Regulatory Authority (FINRA) released three regulatory notices requesting comment on rules related to corporate financing and capital formation. In particular,...
View ArticleThe 20% Rule – Private Placements
Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issuing twenty percent (20%) or more of the outstanding securities in a transaction...
View ArticleStructuring The Private Placement Or Venture Deal – Part 1
Back in 2013 I wrote a series of blogs about preparing for and then structuring a private placement or venture deal. In today’s world where public markets are more difficult to access for smaller...
View ArticleStructuring The Private Placement Or Venture Deal – Part 2
Back in 2013 I wrote a series of blogs about preparing for and then structuring a private placement or venture deal. In today’s world where public markets are more difficult to access for smaller...
View ArticleSEC Concept Release On Private Offerings
On June 18, 2019, the SEC issued a 211-page concept release and request for public comment on ways to simplify, harmonize, and improve the exempt (private) offering framework. The concept release...
View ArticleNew FINRA Rule 5123 Takes Effect Requiring Notice of Private Placements by...
The Financial Industry Regulatory Authority has adopted new Rule 5123 requiring members to file notice of their participation in private placements. The Rule took effect on December 3rd 2012. The new...
View ArticleStructuring The Private Placement Investment- Development Stage Or Start Up...
The question: As the economy has been gaining strength, so have the number of entrepreneurs seeking private equity investments through pre-packaged structured private placement offerings, and...
View ArticleStructuring The Private Placement Investment- The Form Of The Investment
I recently blogged about how to determine valuation in a start-up or development stage entity for purposes of structuring a prepackaged private placement, or for negotiating the venture capital...
View ArticleStructuring The Private Placement Or Venture Investment- Pre-Deal Considerations
I recently blogged about how to determine valuation in a start-up or development stage entity for purposes of structuring a prepackaged private placement, or for negotiating the venture capital...
View ArticleThe Section 4(a)(1) And 4(a)(1½) Exemption; Recommendations For An Amendment...
What are the Section 4(a)(1) and Section 4(a)(1½) exemptions, and how do they work? Section 4(a)(1) of the Securities Act of 1933 (“Securities Act”) provides an exemption for a transaction “by a person...
View ArticleFINRA Proposes Amendments To The Corporate Financing Rules
On April 11, 2017, the Financial Industry Regulatory Authority (FINRA) released three regulatory notices requesting comment on rules related to corporate financing and capital formation. In particular,...
View ArticleThe 20% Rule – Private Placements
Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issuing twenty percent (20%) or more of the outstanding securities in a transaction...
View ArticleStructuring The Private Placement Or Venture Deal – Part 1
Back in 2013 I wrote a series of blogs about preparing for and then structuring a private placement or venture deal. In today’s world where public markets are more difficult to access for smaller...
View ArticleStructuring The Private Placement Or Venture Deal – Part 2
Back in 2013 I wrote a series of blogs about preparing for and then structuring a private placement or venture deal. In today’s world where public markets are more difficult to access for smaller...
View ArticleSEC Concept Release On Private Offerings
On June 18, 2019, the SEC issued a 211-page concept release and request for public comment on ways to simplify, harmonize, and improve the exempt (private) offering framework. The concept release...
View Article