Download or read book An Analysis of the Use of Regulation A for Small Public Offerings written by United States. Securities and Exchange Commission. Directorate of Economic and Policy Analysis and published by . This book was released on 1982 with total page 114 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Regulations and Their Effects on Small Businesses written by Rosa Maria Moller and published by DIANE Publishing. This book was released on 2001-07 with total page 91 pages. Available in PDF, EPUB and Kindle. Book excerpt: Describes the regulatory process for private and public securities offerings, emphasizing the impact on small business (SB). Chapters: legal structure for the oversight of offerings and sale of securities; the process by which SB raise capital through private or public markets; evaluation of state merit review regulatory systems; blue-sky laws; merit review vs. full disclosure systems; 5 ways to evaluate merit review systems; Cal. securities registration system; offerings qualified by the Dept. of Corp.; effects of the Cal. merit review system on Cal. bus.; policy options; eliminate or improve the merit review system; change reg1s.; and cooperate with other States and NASAA1s efforts towards uniformity.
Download or read book Securities Regulation written by Government Accountability Office and published by Createspace Independent Publishing Platform. This book was released on 2017-08-08 with total page 30 pages. Available in PDF, EPUB and Kindle. Book excerpt: " Businesses seeking to use public offerings of securities to raise capital must comply with federal and state securities laws. Businesses must register offerings with SEC unless they qualify for an exemption. Regulation A exempts a securities offering that does not exceed $5 million from SEC registration if certain requirements are met. However, businesses still must file an offering statement that includes an offering circular and financial statements with SEC, and SEC staff review filings for consistency with applicable rules and accounting standards. In addition, Regulation A does not exempt offerings from states' registration requirements, which are also intended to protect investors. Concerned about the decline in the number of public offerings, the JOBS Act requires SEC to amend Regulation A (or to adopt a new regulation) to raise the threshold for use of that registration exemption from $5 million to $50 million, and requires GAO to study the impact of state securities laws on Regulation A offerings. This report examines (1) trends in Regulation A filings, (2) how states register Regulation A filings, and, (3) factors affecting the number of Regulation A filings and how the number of filings may change in the future. GAO analyzed SEC data related to financial regulatory filings, reviewed published research, and interviewed academics, SEC staff, state securities regulators, and small businesses. SEC and NASAA provided technical comments on a draft copy of this report, which GAO incorporated"
Download or read book Model Rules of Professional Conduct written by American Bar Association. House of Delegates and published by American Bar Association. This book was released on 2007 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Download or read book SEC Monthly Statistical Review written by United States. Securities and Exchange Commission and published by . This book was released on 1985 with total page 528 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book SEC Monthly Statistical Review written by and published by . This book was released on 1986 with total page 520 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Regulation A and Other Alternatives to a Traditional IPO written by David N. Feldman and published by John Wiley & Sons. This book was released on 2018-01-18 with total page 176 pages. Available in PDF, EPUB and Kindle. Book excerpt: Understand Regulation A+ and other alternative funding methods Regulation A+ and Other Alternatives to a Traditional IPO delves into the details of the newSEC rules under the JOBS Act of 2012 to examine the benefits and pitfalls for entrepreneurs and investors. Written by the 'Godfather of Reg A+,' this book breaks down the complex details of Regulation A+ and other alternative funding methods to help small businesses determine how best to go public and raise capital. A traditional IPO comes with barriers that can be insurmountable for a small company seeking to enter the public markets; thus far, reverse mergers have provided a challenging 'back door' to the market, but Regulation A+ re-opens the front door to allow small cap companies to raise capital while keeping offering and compliance costs manageable in a way not possible with a traditional IPO. More complex than simple crowdfunding, yet just as accessible by all investors, Regulation A+ is a step up for entrepreneurs at any stage wanting to go public where Wall Street meets Main Street. Straightforward explanations, smart strategy, and illustrative examples make this book an invaluable guide for those seeking to truly understand the nuances of Regulation A+ in order to work more effectively within its bounds. Understand how Regulation A+ differs from a traditional IPO and the early experience with this exciting new approach Examine the JOBS Act and the SEC's rules under Title IV Explore the past, present, and future of reverse mergers, special purpose acquisition companies (SPACs) and self-filings Discover new alternatives including new rules under Rule 504 and Regulation S The new rules provide a faster, more streamlined, more cost-effective route to up to $50 million in capital, and offer companies more flexibility than ever. Every entrepreneur needs to know all available funding options, and Regulation A+ and Other Alternatives to a Traditional IPO provides essential guidance from the expert in the field.
Download or read book U S Regulation of the International Securities and Derivatives Markets written by and published by Aspen Law & Business Publishers. This book was released on 2002 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investment Company Act Release written by United States. Securities and Exchange Commission and published by . This book was released on 1967 with total page 974 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Regulatory Reform written by United States. Congress. Senate. Committee on the Judiciary and published by . This book was released on 1980 with total page 380 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Initial Public Offerings written by Michelle Lowry and published by . This book was released on 2017 with total page 166 pages. Available in PDF, EPUB and Kindle. Book excerpt: The purpose of this monograph is to provide an overview of the IPO literature since 2000. The fewer numbers of companies going public in recent years has raised many questions regarding the IPO process, in both academic and regulatory circles. As we all strive to understand these changes in the market, it is especially important to understand the dynamics underlying the IPO process. If the process of going public is too costly or the IPO mechanism is plagued by too many conflicts of interest among the various intermediaries, then private companies may rationally choose other methods of raising capital. In a related vein, it is imperative that new regulations not be based on research focusing solely on large, more mature firms. Newly public firms have unique characteristics, and an increased understanding of such issues will contribute positively to well-functioning public markets and further growth of the entrepreneurial sector. We also provide a detailed guide to researchers on how to obtain a research-quality sample of IPOs, from standard data sources. Related to this, we tabulate important corrections to these standard data sources.
Download or read book The State of Small Business written by and published by . This book was released on 1982 with total page 792 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The Regulatory Flexibility Act written by United States. Congress. House. Committee on Small Business. Subcommittee on Government Programs and Oversight and published by . This book was released on 1997 with total page 360 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Organizing a Small Business Entity written by Harry J. Haynsworth and published by . This book was released on 1986 with total page 530 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides an overview of the legal problems that are likely to arise in organizing a small business as proprietorship, partnership, or corporation. Among the major topics covered are C and S corporations, minimizing the risks of Subchapter S status, applicability of the sales provisions of Article 6 of the UCC and statutory and contractual devices to enhance the rights of minority shareholders in close corporations.
Download or read book Hearings Reports and Prints of the Senate Committee on the Judiciary written by United States. Congress. Senate. Committee on the Judiciary and published by . This book was released on 1979 with total page 1672 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The Political Economy of Financial Regulation written by Emilios Avgouleas and published by Cambridge University Press. This book was released on 2019-01-31 with total page 531 pages. Available in PDF, EPUB and Kindle. Book excerpt: Examines the law and policy of financial regulation using a combination of conceptual analysis and strong empirical research.
Download or read book The Journal of Law and Commerce written by and published by . This book was released on 1993 with total page 438 pages. Available in PDF, EPUB and Kindle. Book excerpt:
