Index
- Accredited investors, limit (absence)
- Acquisitions, impact
- Adomani Inc.
- Aging
- Alleged fraud
- American Apparel, reverse merger usage
- American Bar Association
- American Institute of Certified Public Accountants (AICPA)
- American Stock Exchange
- America Online IPO
- Annual audit, performing
- Article VI, Supremacy Clause
- At-the-market offerings (ATMs)
- allowance
- Audited financials
- Auditors, hiring
- Bad actor disqualification
- BANQ
- Being public
- advantages
- disadvantages
- fraud/greed
- public disclosure
- short-term results, emphasis
- Berkshire Hathaway
- company acquisition
- reverse merger usage
- Best-efforts deals/offerings
- Bid/ask prices, spreads (reduction)
- Big-company IPOs
- Big Five (accounting firms)
- Blank check
- company
- requirements
- definition
- Blood diamonds, connection
- Blue Sky
- issues
- laws, GAO study
- preemption
- review
- State Blue Sky laws, impact (study)
- Bogus shells
- usage, risks
- Boustead Securities LLC
- Brokerage firms, fraud
- Broker-dealer
- action
- investment banks, action
- market maker role
- syndicate
- Buffett, Warren
- Buhl, Teri
- Bukzin, David
- Burger King
- merger
- reverse acquisition
- Business plan, absence
- Bypass seasoning, public offering (input)
- Capital, access
- Capital investments
- China. See People's Republic of China
- Citigroup
- Clayton, Jay
- Clean shell
- Comment process
- Company staff, addition
- Compliance & Disclosure Interpretations (C&DIs)
- SEC issuance
- Conference, The. See Government-Business Forum on Small Business Capital Formation
- Confidential filing/submissions
- Conflict minerals
- Cougar Biotechnology, sale
- Coulson, Cromwell
- Covered securities
- Crowdfunding
- disappointment
- Deloitte, Longtop Financial IPO
- Deregulation strategies
- Deutsche Bank
- Development-stage company
- Dilution, reduction
- Dirty shells
- Disclosure, simplification
- Distribution plan
- Due diligence
- importance
- thoroughness
- EarlyBird Capital
- Early-stage opportunity
- Earnings management
- Economic environment, impact
- Economic scope theory
- Electronic Data Gathering and Retrieval (EDGAR) system
- arrival
- filing preparers
- filing services
- offering statement, electronic filing
- service, impact
- Electronic filings
- Elenowitz, Mark
- Elio Motors
- Ellenoff, Ted
- Emerging growth companies (EGCs)
- JOBS Act definition
- Enron
- scandal
- Enronomics
- Entertainment costs, payment
- Equity Capital Markets
- eREITs (Fundrise)
- Escrow, money placement
- Evergreen requirement
- Executives, stock options (usage)
- Exit report, filing
- Exit strategy
- Expenses, company management
- Fairness opinion
- Filing requirements, challenge
- Financial CHOICE Act
- Financial disclosure, avoidance
- Financial Industry Regulatory Authority (FINRA)
- comments/revisions
- document review
- investment bank regulation
- resale registration review, absence
- Firm commitment
- underwriting
- Fixing America's Surface Transportation (FAST) Act
- Foreign private issuer
- Form 1-A
- context
- usage
- Form 1-K
- Form 1-SA
- Form 1-U
- Form 1-Z
- Form 8-A
- Form 8-K
- filing
- Form 10
- automatic effectiveness
- filing
- market development
- Form S-1, contrast
- impact
- registration, usage
- Form 10-K
- Form 10-Q
- Form 10 shells
- popularity
- private company, merger
- Form S-1
- document, preparation/filing
- effectiveness
- Form 10, contrast
- IPO
- level disclosure
- private offerings
- professionals, engagement
- resale registration
- SEC/FINRA comments/revisions
- self-filing, mechanics
- shareholder identification
- Form S-3
- Fraud
- concerns
- reverse mergers, relationship
- Freedom of Information Act (FOIA) request
- Full reporting. See Securities and Exchange Commission
- Fundrise
- eREITs
- Future supply
- Gabelli, Mario
- Gao, Xiaohui
- Generally Accepted Auditing Standards (GAAS)
- GKN Securities, SPAC experience
- Global Research Analyst Settlement (GRAS)
- Going public
- costs
- expense
- method
- reason
- small company movement
- Goldman Sachs
- SPAC failure
- IPO
- Gore, Al
- Government Accountability Office (GAO), Blue Sky study
- Government-Business Forum on Small Business Capital Formation (the Conference)
- Great Depression
- Regulation A, enactment
- Green shoe
- overallotment option
- Green Shoe Manufacturing Company
- Growth, acquisitions/strategic partnerships (impact)
- Growth Capitalist (newsletter)
- Harvard Business Law Review (HBLR)
- Hidden control persons
- House Financial Services Committee, Financial CHOICE Act passage
- Hybrid, term (usage)
- Initial public offerings (IPOs)
- alternative business, developments
- alternatives
- big-company IPOs
- cessation
- intrastate exemption
- market
- independence
- problems
- on-ramp
- Regulation A IPOs, usage
- Regulation A+ usage
- Regulation S
- reverse mergers, contrast
- Rule 504
- underwriter, usage (absence)
- window, closure
- Inquiry notice
- Internal financial controls, SOX Section 404 compliance
- International companies
- International Shipping Enterprises
- Intrastate exemptions
- Investors
- activities, SEC investigations
- relations firm, engagement
- self-certification
- self-protection
- status (limitation), Regulation D Rule 506 (impact)
- Jamba Juice, reverse merger usage
- Jobs, Steve
- Johnson & Johnson, acquisition
- Jumpstart Our Business Startups (JOBS) Act
- development/enactment
- elements
- genesis
- improvements
- Obama signing
- states displeasure
- Title I
- Title II
- Title III
- Title IV rules
- Title V
- Junior SPAC, structuring
- Kennedy, Joseph P.
- Kim, Edward
- Kohlberg Kravis Roberts
- merger
- reverse acquisition
- Kozlowski, Dennis (money, theft)
- “Lift-the-veil” comprehensive disclosure system
- Light reporting
- planning
- preparation
- Liquidity
- offering, Regulation A (impact)
- Longtop Financial, IPO
- Madoff, Bernard
- Main Street partners, Wall Street partners (interaction)
- Management's discussion and analysis (MD&A)
- preparation
- Marcum LLP
- Market
- development
- ecosystem theory
- makers
- Massachusetts, SEC lawsuit failure
- Material contact
- McClory, Dan
- Merck/Schering-Plough, reverse acquisition
- Mergers
- deal, size (impact)
- dissenting shareholders, impact
- operating public company, interaction
- reverse mergers
- Merrill Lynch
- Messy shells
- Mid-cap stocks, IPO market
- Miller, David Alan
- Montana, SEC lawsuit failure
- Multitiered corporate structures
- Myomo Inc.
- Name-brand investor, capital investment
- NASAA. See North American Securities Administrators Association
- Nasdaq
- minimum price, meeting
- National Securities Markets Improvement Act (NSMIA)
- Blue Sky preemption
- notice filings/fees
- preemption
- regulation, congressional preemption
- Near-term uplisting
- NERA Economic Consulting
- Netscape IPO
- New York Stock Exchange (NYSE)
- American
- merger
- reverse acquisition
- Non-accredited investors, investment application
- Non-public offerings. See Private offerings.
- Nonreporting companies, issuers, stock trades
- North American Securities Administrators Association (NASAA)
- friend of the court filing
- Nussbaum, David
- Obama, Barack
- Occidental Petroleum, reverse merger usage
- Off-balance sheet transactions
- Offering Circular
- requirements
- Offering Statement
- electronic filing
- issues
- preparation
- Q&A format
- testing
- Office of Inspector General (OIG) SEC review
- Operating public company, merger
- Order handling rules (OHRs)
- OTC Markets Group Inc.
- at-the-market offerings, allowance
- Blue Sky issues
- issues
- petition
- Regulation A usage
- OTCQX/OTCQB
- operator
- Out of the money warrant
- Overallotment option
- Over-the-counter (OTC) Bulletin Board
- Over-the-counter (OTC) issuers, Blue Sky preemption
- Over-the-counter (OTC) markets
- Over-the-counter (OTC) Pink
- Over-the-counter (OTC) platform requirement
- Over-the-counter (OTC) resale, Blue Sky preemption
- Over-the-counter (OTC) stocks, trading
- Over-the-counter (OTC) trading
- Paperwork Reduction Act
- Peltz, Nelson
- Pence, Mike
- Penny stock market, regional perspective
- Penny Stock Reform Act (1990)
- People's Republic of China
- bubble
- deals
- fraud, allegations
- phenomenon, genesis
- responsibility
- State Administration of Foreign Exchange (SAFE)
- tax authorities, filings
- Perelman, Ronald
- Periodic filings
- Political environment, impact
- Ponzi scheme
- Post-offering compliance costs, minimization
- Post-offering disclosure
- Post-offering reporting, SEC requirement
- Post-qualification offering activities
- Post-reverse merger, requirement
- Private companies
- flexibility
- Form 10 shell, merger
- Private investment in public equity (PIPE)
- closure
- consideration
- creation
- investors, impact
- predecessors
- transactions
- Private offerings (non-public offerings)
- advertising, Regulation D 506(c) usage
- Private placement memorandum (PPM), preparation
- Private shell
- Public companies
- advantages
- lawsuits
- Public Company Accounting Oversight Board (PCAOB)
- cautions
- compliance
- PCAOB-registered auditing firm
- standards
- Public disclosure
- Public filings, review
- Public offering
- form
- private offering, concurrence
- SEC treatment
- Public relations firm, engagement
- Public reporting
- Puma Biotechnology, reverse merger
- Pump-and-dump schemes
- Pure startup companies
- Qualification
- public disclosure
- Qualified institutional buyers (QIBs)
- Qualified purchaser
- definition
- Quarterly financial statement, review
- Quarterly reporting
- Quayle, Dan
- Quiet period rules, impact
- Real estate investors, impact
- Registered offerings, conforming
- Registration rights
- Regulation A
- Blue Sky
- changes
- deals
- disclosure/reporting, simplification
- functions
- history
- impact
- improvement
- IPOs, usage
- limited offering amount
- nomenclature
- Offering Circular
- popularity
- private offering, Regulation D contrast
- proposal
- reporting companies usage, allowance
- resale offering statement
- rules, SEC approval
- securities, OTC resale (Blue Sky preemption)
- Tier 1 offerings
- U.S./Canadian company usage
- Regulation A+
- creation
- developments
- experience
- features
- final rules
- future, perspective
- growth, problems
- impact
- improvement
- IPO
- offering
- IPOs
- issuer, limit (increase)
- proposal (SEC conference)
- real estate investors, impact
- testing-the-waters issues
- usage
- users, identification
- Regulation A++
- Regulation A offerings
- Blue Sky law, impact (GAO study)
- Blue Sky review
- SEC review
- tiers, creation
- Regulation A+ Title IV
- court challenge
- language
- covered securities/qualified purchaser
- provisions
- SEC rules
- Regulation D
- cost, reduction
- notice filings
- offerings
- passage
- private placements
- Rule 504
- Rule 506
- dollar limit, absence
- impact
- Rule 506(c)
- creation
- Regulation FD
- Regulation S
- Regulation S-K
- Release No. 33–9497
- Reporting
- companies, Regulation A usage (allowance)
- Reporting, simplification
- Resale offering statement
- Resale registration
- Reverse acquisitions
- Reverse Merger Report
- Reverse mergers
- advantages
- alternative, viability
- cessation
- cost, reduction
- developments
- dilution, reduction
- disadvantages
- due diligence, importance
- funding, reduction
- future
- history
- IPOs, contrast
- OTC trading
- overview
- problems
- process, acceleration
- reverse takeover (RTO)
- Rule 419
- rulemakings
- Reverse takeover (RTO). See Reverse mergers.
- Reverse triangular mergers
- Ritter, Jay R.
- Roadshow, appearance
- Roosevelt, Franklin D.
- Rose, Paul
- Rule 15c2–11 information
- Rule 144
- application
- availability
- changes
- exemption
- issues
- Rule 147A
- Rule 255
- Rule 419
- adoption
- aftermath
- blank check definition
- components
- exemption, advantage
- protections
- restrictions
- Rule 504
- Rule 506
- dollar limit, absence
- impact
- public offerings, SEC treatment
- Rule 506(b)
- investor allowance
- Rulemakings (reverse mergers)
- Ryan, Paul
- S-1 IPO
- S-1 resale registration
- Sarbanes-Oxley Act of 2002 (SOX)
- passage
- problem
- Section 404 compliance
- Seasoning restrictions
- Seasoning rules
- adoption
- reaction
- SEC response
- Secondary public offering
- Securities Act of 1933
- Section 3(a)(11), SEC relationship
- Securities and Exchange Commission (SEC)
- comments/revisions
- conference (2010)
- conference, Regulation A+ proposal
- disclosure requirements
- path
- interpretive guidance
- lawsuit, failure (Massachusetts/Montana)
- material developments
- Office of Small Business Policy
- conference control
- regulatory changes
- rulemakings (2005/2008)
- seasoning rules response
- Small Business Conference, history
- Tier 2 companies planning
- Securities and Exchange Commission (SEC) Regulation A+
- aging
- audited financials
- bad actor disqualification
- Blue Sky preemption
- comment process
- confidential submissions
- disclosure level
- electronic filings
- eligibility
- final rules
- formal qualification
- light reporting
- market support, obtaining (reduction)
- offering statement
- post-offering disclosure
- qualified purchaser definition
- rule proposal
- seasoning restrictions
- Title IV rules
- Securities and Exchange Commission (SEC), retaining attorneys (interaction)
- Securities Exchange Act of 1934
- passage
- Section 16, exemption
- Self-filings
- alternative, viability
- developments
- Form 10 registration, usage
- Form S-1 resale registration usage
- Semiannual financial statements
- Shareholders
- approval
- identification
- reconfirmation/ratification, absence
- rights
- Shares
- registration
- trade process
- Shell companies (shells)
- cash, presence
- “checking the box”
- cost
- definition
- problems
- restrictions
- Rule 419 restrictions
- Short swing profit restriction
- Short-term results, emphasis
- Single state Reg A offerings
- SlowPO
- Small and medium enterprises (SMEs)
- Small Business Capital Formation Enhancement Act (2016)
- Small Business Investment Incentive Act (1980)
- Small-cap IPO, Regulation A+ (impact)
- Small-cap stocks, IPO market
- Small companies, going public
- Small-company IPOs
- cessation
- disappearance
- Smaller reporting companies (SRCs)
- Small initial public offerings (IPOs), cessation
- Small IPOs, Regulation A (usage)
- Solomon, Davidoff
- Special purpose acquisition companies (SPACs)
- alternative, viability
- developments
- future
- GKN experience
- IPOs
- junior SPAC, structuring
- proliferation
- requirement, elimination
- resurgence, bubble/bust
- return
- Special-purpose vehicles, deals
- Spitzer, Eliot
- State Administration of Foreign Exchange (SAFE)
- State notice filings
- Statutory crowdfunding
- Stock
- options, usage
- shares, trade process
- trades
- Stock market crash (1929)
- Stride Rite
- Supremacy Clause (Article VI)
- Tenet, George
- Testing-the-waters (TTW)
- activity post-filing
- capability
- issues
- materials
- recipients, requirements
- Texas Instruments, reverse merger usage
- Thornton, Grant
- Tick-size problem
- Tick-size spreads, change
- Tier 1 issuers
- Tier 1 offerings
- SEC treatment
- size, increase
- Tier 2 companies
- full reporting planning
- light reporting planning
- trade
- Tier 2 offerings
- Title III, rules adoption
- Title IV
- purposes, achievement
- Trading market, establishment
- Travel costs, payment
- TriPoint Global Equities LLC
- Trump, Donald (promises/problems)
- Turner Broadcasting, reverse merger usage
- Tyco, scandal
- Underwriter
- changes, susceptibility (absence)
- money, raising
- usage, absence
- Unsolicited broker transaction
- Wall Street partners, Main Street partners (interaction)
- Warrant exercise
- Weidemann, Karen
- Weild, David
- Wolf of Wall Street, The (movie)
- WorldCom, scandal
- Wozniak, Steve
- Zhu, Zhongyan
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