Index

 

  1. Accredited investors, limit (absence)
  2. Acquisitions, impact
  3. Adomani Inc.
  4. Aging
  5. Alleged fraud
  6. American Apparel, reverse merger usage
  7. American Bar Association
  8. American Institute of Certified Public Accountants (AICPA)
  9. American Stock Exchange
  10. America Online IPO
  11. Annual audit, performing
  12. Article VI, Supremacy Clause
  13. At-the-market offerings (ATMs)
    1. allowance
  14. Audited financials
  15. Auditors, hiring

 

  1. Bad actor disqualification
  2. BANQ
  3. Being public
    1. advantages
    2. disadvantages
    3. fraud/greed
    4. public disclosure
    5. short-term results, emphasis
  4. Berkshire Hathaway
    1. company acquisition
    2. reverse merger usage
  5. Best-efforts deals/offerings
  6. Bid/ask prices, spreads (reduction)
  7. Big-company IPOs
  8. Big Five (accounting firms)
  9. Blank check
    1. company
      1. requirements
    2. definition
  10. Blood diamonds, connection
  11. Blue Sky
    1. issues
    2. laws, GAO study
    3. preemption
    4. review
    5. State Blue Sky laws, impact (study)
  12. Bogus shells
    1. usage, risks
  13. Boustead Securities LLC
  14. Brokerage firms, fraud
  15. Broker-dealer
    1. action
    2. investment banks, action
    3. market maker role
    4. syndicate
  16. Buffett, Warren
  17. Buhl, Teri
  18. Bukzin, David
  19. Burger King
    1. merger
    2. reverse acquisition
  20. Business plan, absence
  21. Bypass seasoning, public offering (input)

 

  1. Capital, access
  2. Capital investments
  3. China. See People's Republic of China
  4. Citigroup
  5. Clayton, Jay
  6. Clean shell
  7. Comment process
  8. Company staff, addition
  9. Compliance & Disclosure Interpretations (C&DIs)
    1. SEC issuance
  10. Conference, The. See Government-Business Forum on Small Business Capital Formation
  11. Confidential filing/submissions
  12. Conflict minerals
  13. Cougar Biotechnology, sale
  14. Coulson, Cromwell
  15. Covered securities
  16. Crowdfunding
    1. disappointment

 

  1. Deloitte, Longtop Financial IPO
  2. Deregulation strategies
  3. Deutsche Bank
  4. Development-stage company
  5. Dilution, reduction
  6. Dirty shells
  7. Disclosure, simplification
  8. Distribution plan
  9. Due diligence
    1. importance
    2. thoroughness

 

  1. EarlyBird Capital
  2. Early-stage opportunity
  3. Earnings management
  4. Economic environment, impact
  5. Economic scope theory
  6. Electronic Data Gathering and Retrieval (EDGAR) system
    1. arrival
    2. filing preparers
    3. filing services
    4. offering statement, electronic filing
    5. service, impact
  7. Electronic filings
  8. Elenowitz, Mark
  9. Elio Motors
  10. Ellenoff, Ted
  11. Emerging growth companies (EGCs)
    1. JOBS Act definition
  12. Enron
    1. scandal
  13. Enronomics
  14. Entertainment costs, payment
  15. Equity Capital Markets
  16. eREITs (Fundrise)
  17. Escrow, money placement
  18. Evergreen requirement
  19. Executives, stock options (usage)
  20. Exit report, filing
  21. Exit strategy
  22. Expenses, company management

 

  1. Fairness opinion
  2. Filing requirements, challenge
  3. Financial CHOICE Act
  4. Financial disclosure, avoidance
  5. Financial Industry Regulatory Authority (FINRA)
    1. comments/revisions
    2. document review
    3. investment bank regulation
    4. resale registration review, absence
  6. Firm commitment
    1. underwriting
  7. Fixing America's Surface Transportation (FAST) Act
  8. Foreign private issuer
  9. Form 1-A
    1. context
    2. usage
  10. Form 1-K
  11. Form 1-SA
  12. Form 1-U
  13. Form 1-Z
  14. Form 8-A
  15. Form 8-K
    1. filing
  16. Form 10
    1. automatic effectiveness
    2. filing
      1. market development
    3. Form S-1, contrast
    4. impact
    5. registration, usage
  17. Form 10-K
  18. Form 10-Q
  19. Form 10 shells
    1. popularity
    2. private company, merger
  20. Form S-1
    1. document, preparation/filing
    2. effectiveness
    3. Form 10, contrast
    4. IPO
    5. level disclosure
    6. private offerings
    7. professionals, engagement
    8. resale registration
    9. SEC/FINRA comments/revisions
    10. self-filing, mechanics
    11. shareholder identification
  21. Form S-3
  22. Fraud
    1. concerns
    2. reverse mergers, relationship
  23. Freedom of Information Act (FOIA) request
  24. Full reporting. See Securities and Exchange Commission
  25. Fundrise
    1. eREITs
  26. Future supply

 

  1. Gabelli, Mario
  2. Gao, Xiaohui
  3. Generally Accepted Auditing Standards (GAAS)
  4. GKN Securities, SPAC experience
  5. Global Research Analyst Settlement (GRAS)
  6. Going public
    1. costs
    2. expense
    3. method
    4. reason
    5. small company movement
  7. Goldman Sachs
    1. SPAC failure
    2. IPO
  8. Gore, Al
  9. Government Accountability Office (GAO), Blue Sky study
  10. Government-Business Forum on Small Business Capital Formation (the Conference)
  11. Great Depression
    1. Regulation A, enactment
  12. Green shoe
  13. overallotment option
  14. Green Shoe Manufacturing Company
  15. Growth, acquisitions/strategic partnerships (impact)
  16. Growth Capitalist (newsletter)

 

  1. Harvard Business Law Review (HBLR)
  2. Hidden control persons
  3. House Financial Services Committee, Financial CHOICE Act passage
  4. Hybrid, term (usage)

 

  1. Initial public offerings (IPOs)
    1. alternative business, developments
    2. alternatives
    3. big-company IPOs
    4. cessation
    5. intrastate exemption
    6. market
      1. independence
      2. problems
    7. on-ramp
    8. Regulation A IPOs, usage
    9. Regulation A+ usage
    10. Regulation S
    11. reverse mergers, contrast
    12. Rule 504
    13. underwriter, usage (absence)
    14. window, closure
  2. Inquiry notice
  3. Internal financial controls, SOX Section 404 compliance
  4. International companies
  5. International Shipping Enterprises
  6. Intrastate exemptions
  7. Investors
    1. activities, SEC investigations
    2. relations firm, engagement
    3. self-certification
    4. self-protection
    5. status (limitation), Regulation D Rule 506 (impact)

 

  1. Jamba Juice, reverse merger usage
  2. Jobs, Steve
  3. Johnson & Johnson, acquisition
  4. Jumpstart Our Business Startups (JOBS) Act
    1. development/enactment
    2. elements
    3. genesis
    4. improvements
    5. Obama signing
    6. states displeasure
    7. Title I
    8. Title II
    9. Title III
    10. Title IV rules
    11. Title V
  5. Junior SPAC, structuring

 

  1. Kennedy, Joseph P.
  2. Kim, Edward
  3. Kohlberg Kravis Roberts
    1. merger
    2. reverse acquisition
  4. Kozlowski, Dennis (money, theft)

 

  1. “Lift-the-veil” comprehensive disclosure system
  2. Light reporting
    1. planning
    2. preparation
  3. Liquidity
    1. offering, Regulation A (impact)
  4. Longtop Financial, IPO

 

  1. Madoff, Bernard
  2. Main Street partners, Wall Street partners (interaction)
  3. Management's discussion and analysis (MD&A)
    1. preparation
  4. Marcum LLP
  5. Market
    1. development
    2. ecosystem theory
    3. makers
  6. Massachusetts, SEC lawsuit failure
  7. Material contact
  8. McClory, Dan
  9. Merck/Schering-Plough, reverse acquisition
  10. Mergers
    1. deal, size (impact)
    2. dissenting shareholders, impact
    3. operating public company, interaction
    4. reverse mergers
  11. Merrill Lynch
  12. Messy shells
  13. Mid-cap stocks, IPO market
  14. Miller, David Alan
  15. Montana, SEC lawsuit failure
  16. Multitiered corporate structures
  17. Myomo Inc.

 

  1. Name-brand investor, capital investment
  2. NASAA. See North American Securities Administrators Association
  3. Nasdaq
    1. minimum price, meeting
  4. National Securities Markets Improvement Act (NSMIA)
    1. Blue Sky preemption
    2. notice filings/fees
    3. preemption
    4. regulation, congressional preemption
  5. Near-term uplisting
  6. NERA Economic Consulting
  7. Netscape IPO
  8. New York Stock Exchange (NYSE)
    1. American
    2. merger
    3. reverse acquisition
  9. Non-accredited investors, investment application
  10. Non-public offerings. See Private offerings.
  11. Nonreporting companies, issuers, stock trades
  12. North American Securities Administrators Association (NASAA)
    1. friend of the court filing
  13. Nussbaum, David

 

  1. Obama, Barack
  2. Occidental Petroleum, reverse merger usage
  3. Off-balance sheet transactions
  4. Offering Circular
    1. requirements
  5. Offering Statement
    1. electronic filing
    2. issues
    3. preparation
    4. Q&A format
    5. testing
  6. Office of Inspector General (OIG) SEC review
  7. Operating public company, merger
  8. Order handling rules (OHRs)
  9. OTC Markets Group Inc.
    1. at-the-market offerings, allowance
    2. Blue Sky issues
    3. issues
    4. petition
    5. Regulation A usage
  10. OTCQX/OTCQB
    1. operator
  11. Out of the money warrant
  12. Overallotment option
  13. Over-the-counter (OTC) Bulletin Board
  14. Over-the-counter (OTC) issuers, Blue Sky preemption
  15. Over-the-counter (OTC) markets
  16. Over-the-counter (OTC) Pink
  17. Over-the-counter (OTC) platform requirement
  18. Over-the-counter (OTC) resale, Blue Sky preemption
  19. Over-the-counter (OTC) stocks, trading
  20. Over-the-counter (OTC) trading

 

  1. Paperwork Reduction Act
  2. Peltz, Nelson
  3. Pence, Mike
  4. Penny stock market, regional perspective
  5. Penny Stock Reform Act (1990)
  6. People's Republic of China
    1. bubble
    2. deals
    3. fraud, allegations
    4. phenomenon, genesis
    5. responsibility
    6. State Administration of Foreign Exchange (SAFE)
    7. tax authorities, filings
  7. Perelman, Ronald
  8. Periodic filings
  9. Political environment, impact
  10. Ponzi scheme
  11. Post-offering compliance costs, minimization
  12. Post-offering disclosure
  13. Post-offering reporting, SEC requirement
  14. Post-qualification offering activities
  15. Post-reverse merger, requirement
  16. Private companies
    1. flexibility
    2. Form 10 shell, merger
  17. Private investment in public equity (PIPE)
    1. closure
    2. consideration
    3. creation
    4. investors, impact
    5. predecessors
    6. transactions
  18. Private offerings (non-public offerings)
    1. advertising, Regulation D 506(c) usage
  19. Private placement memorandum (PPM), preparation
  20. Private shell
  21. Public companies
    1. advantages
    2. lawsuits
  22. Public Company Accounting Oversight Board (PCAOB)
    1. cautions
    2. compliance
    3. PCAOB-registered auditing firm
    4. standards
  23. Public disclosure
  24. Public filings, review
  25. Public offering
    1. form
    2. private offering, concurrence
    3. SEC treatment
  26. Public relations firm, engagement
  27. Public reporting
  28. Puma Biotechnology, reverse merger
  29. Pump-and-dump schemes
  30. Pure startup companies

 

  1. Qualification
    1. public disclosure
  2. Qualified institutional buyers (QIBs)
  3. Qualified purchaser
    1. definition
  4. Quarterly financial statement, review
  5. Quarterly reporting
  6. Quayle, Dan
  7. Quiet period rules, impact

 

  1. Real estate investors, impact
  2. Registered offerings, conforming
  3. Registration rights
  4. Regulation A
    1. Blue Sky
    2. changes
    3. deals
    4. disclosure/reporting, simplification
    5. functions
    6. history
    7. impact
    8. improvement
    9. IPOs, usage
    10. limited offering amount
    11. nomenclature
    12. Offering Circular
    13. popularity
    14. private offering, Regulation D contrast
    15. proposal
    16. reporting companies usage, allowance
    17. resale offering statement
    18. rules, SEC approval
    19. securities, OTC resale (Blue Sky preemption)
    20. Tier 1 offerings
    21. U.S./Canadian company usage
  5. Regulation A+
    1. creation
    2. developments
    3. experience
    4. features
    5. final rules
    6. future, perspective
    7. growth, problems
    8. impact
    9. improvement
    10. IPO
      1. offering
    11. IPOs
    12. issuer, limit (increase)
    13. proposal (SEC conference)
    14. real estate investors, impact
    15. testing-the-waters issues
    16. usage
    17. users, identification
  6. Regulation A++
  7. Regulation A offerings
    1. Blue Sky law, impact (GAO study)
    2. Blue Sky review
    3. SEC review
    4. tiers, creation
  8. Regulation A+ Title IV
    1. court challenge
    2. language
      1. covered securities/qualified purchaser
      2. provisions
    3. SEC rules
  9. Regulation D
    1. cost, reduction
    2. notice filings
    3. offerings
    4. passage
    5. private placements
    6. Rule 504
    7. Rule 506
      1. dollar limit, absence
      2. impact
    8. Rule 506(c)
      1. creation
  10. Regulation FD
  11. Regulation S
  12. Regulation S-K
  13. Release No. 33–9497
  14. Reporting
    1. companies, Regulation A usage (allowance)
  15. Reporting, simplification
  16. Resale offering statement
  17. Resale registration
  18. Reverse acquisitions
  19. Reverse Merger Report
  20. Reverse mergers
    1. advantages
    2. alternative, viability
    3. cessation
    4. cost, reduction
    5. developments
    6. dilution, reduction
    7. disadvantages
    8. due diligence, importance
    9. funding, reduction
    10. future
    11. history
    12. IPOs, contrast
    13. OTC trading
    14. overview
    15. problems
    16. process, acceleration
  21. reverse takeover (RTO)
    1. Rule 419
    2. rulemakings
  22. Reverse takeover (RTO). See Reverse mergers.
  23. Reverse triangular mergers
  24. Ritter, Jay R.
  25. Roadshow, appearance
  26. Roosevelt, Franklin D.
  27. Rose, Paul
  28. Rule 15c2–11 information
  29. Rule 144
    1. application
    2. availability
    3. changes
    4. exemption
    5. issues
  30. Rule 147A
  31. Rule 255
  32. Rule 419
    1. adoption
      1. aftermath
    2. blank check definition
    3. components
    4. exemption, advantage
    5. protections
    6. restrictions
  33. Rule 504
  34. Rule 506
    1. dollar limit, absence
    2. impact
    3. public offerings, SEC treatment
  35. Rule 506(b)
    1. investor allowance
  36. Rulemakings (reverse mergers)
  37. Ryan, Paul

 

  1. S-1 IPO
  2. S-1 resale registration
  3. Sarbanes-Oxley Act of 2002 (SOX)
    1. passage
    2. problem
    3. Section 404 compliance
  4. Seasoning restrictions
  5. Seasoning rules
    1. adoption
    2. reaction
    3. SEC response
  6. Secondary public offering
  7. Securities Act of 1933
    1. Section 3(a)(11), SEC relationship
  8. Securities and Exchange Commission (SEC)
    1. comments/revisions
    2. conference (2010)
    3. conference, Regulation A+ proposal
    4. disclosure requirements
    5. path
    6. interpretive guidance
    7. lawsuit, failure (Massachusetts/Montana)
    8. material developments
    9. Office of Small Business Policy
      1. conference control
    10. regulatory changes
    11. rulemakings (2005/2008)
    12. seasoning rules response
    13. Small Business Conference, history
    14. Tier 2 companies planning
  9. Securities and Exchange Commission (SEC) Regulation A+
    1. aging
    2. audited financials
    3. bad actor disqualification
    4. Blue Sky preemption
    5. comment process
    6. confidential submissions
    7. disclosure level
    8. electronic filings
    9. eligibility
    10. final rules
    11. formal qualification
    12. light reporting
    13. market support, obtaining (reduction)
    14. offering statement
    15. post-offering disclosure
    16. qualified purchaser definition
    17. rule proposal
    18. seasoning restrictions
    19. Title IV rules
  10. Securities and Exchange Commission (SEC), retaining attorneys (interaction)
  11. Securities Exchange Act of 1934
    1. passage
    2. Section 16, exemption
  12. Self-filings
    1. alternative, viability
    2. developments
    3. Form 10 registration, usage
    4. Form S-1 resale registration usage
  13. Semiannual financial statements
  14. Shareholders
    1. approval
    2. identification
    3. reconfirmation/ratification, absence
    4. rights
  15. Shares
    1. registration
    2. trade process
  16. Shell companies (shells)
    1. cash, presence
    2. “checking the box”
    3. cost
    4. definition
    5. problems
    6. restrictions
    7. Rule 419 restrictions
  17. Short swing profit restriction
  18. Short-term results, emphasis
  19. Single state Reg A offerings
  20. SlowPO
  21. Small and medium enterprises (SMEs)
  22. Small Business Capital Formation Enhancement Act (2016)
  23. Small Business Investment Incentive Act (1980)
  24. Small-cap IPO, Regulation A+ (impact)
  25. Small-cap stocks, IPO market
  26. Small companies, going public
  27. Small-company IPOs
    1. cessation
    2. disappearance
  28. Smaller reporting companies (SRCs)
  29. Small initial public offerings (IPOs), cessation
  30. Small IPOs, Regulation A (usage)
  31. Solomon, Davidoff
  32. Special purpose acquisition companies (SPACs)
    1. alternative, viability
    2. developments
    3. future
    4. GKN experience
    5. IPOs
    6. junior SPAC, structuring
    7. proliferation
    8. requirement, elimination
    9. resurgence, bubble/bust
    10. return
  33. Special-purpose vehicles, deals
  34. Spitzer, Eliot
  35. State Administration of Foreign Exchange (SAFE)
  36. State notice filings
  37. Statutory crowdfunding
  38. Stock
    1. options, usage
    2. shares, trade process
    3. trades
  39. Stock market crash (1929)
  40. Stride Rite
  41. Supremacy Clause (Article VI)

 

  1. Tenet, George
  2. Testing-the-waters (TTW)
    1. activity post-filing
    2. capability
    3. issues
    4. materials
      1. recipients, requirements
  3. Texas Instruments, reverse merger usage
  4. Thornton, Grant
  5. Tick-size problem
  6. Tick-size spreads, change
  7. Tier 1 issuers
  8. Tier 1 offerings
    1. SEC treatment
    2. size, increase
  9. Tier 2 companies
    1. full reporting planning
    2. light reporting planning
    3. trade
  10. Tier 2 offerings
  11. Title III, rules adoption
  12. Title IV
    1. purposes, achievement
  13. Trading market, establishment
  14. Travel costs, payment
  15. TriPoint Global Equities LLC
  16. Trump, Donald (promises/problems)
  17. Turner Broadcasting, reverse merger usage
  18. Tyco, scandal

 

  1. Underwriter
    1. changes, susceptibility (absence)
    2. money, raising
    3. usage, absence
  2. Unsolicited broker transaction

 

  1. Wall Street partners, Main Street partners (interaction)
  2. Warrant exercise
  3. Weidemann, Karen
  4. Weild, David
  5. Wolf of Wall Street, The (movie)
  6. WorldCom, scandal
  7. Wozniak, Steve

 

  1. Zhu, Zhongyan
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