Recent Blog Posts
What is the Securities Exchange Commission Rule 144?
Securities and Exchange Commission (“SEC”) Rule 144 is promulgated under the Securities Act of 1933 and deals with a commonly used exemption for security holders to sell restricted securities in public resales. Restricted securities are typically acquired in a private, unregistered sale from an issuing company or one of their affiliates. What are Restricted… Read More »
Essential Elements of Florida Corporate Compliance
Do you know whether your business is complying with all government regulations regarding reporting and operations? All businesses are required to have company policies that teach their employees how to handle and respond to a variety of situations, as well as file accurate financial statements. Failure to comply with governmental regulations and rules can… Read More »
Questions Investors Should be Asking Before Investing in a Startup
Taking a risk on investing in a startup can pay off with significant returns, but every venture has its risks. With startups, there is no guarantee the business will take off, and, if it fails, investors could wind up with nothing. If you’re looking for investors for your new startup, it’s important that you… Read More »
SEC Issues Proposal to Improve Disclosures Related to Businesses’ Acquisitions and Dispositions
Earlier this month, the Securities and Exchange Commission (SEC) voted in favor of creating amendments that would improve the amount of information that investors would receive in regard to acquisition and disposition of businesses. These proposed amendments would also help facilitate more timely access to capital as well as reduce compliance costs and complexity… Read More »
Choosing Between LLC or Corporation: Which is Better for Your Florida Business?
Starting a new business is exciting, but it can also be overwhelming, especially for small business owners who aren’t exactly sure what type of business entity is right for them. Two of the most common types are the Limited Liability Company, typically known as an LLC, and the corporation. However, there is also another… Read More »
What is the SEC’s FAST Act Modernization and Simplification of Regulation S-K?
The Securities and Exchange Commission voted in March to adopt several amendments in Regulation S-K that are designed to both modernize and simplify the disclosure requirements for investment companies, public companies, and investment advisers. The object is to make it easier for them to access and analyze material information while doing away with unnecessary… Read More »
The Risks of Trading Based on the Use of Social Sentiment Investing Tools
In a recent Investor Alert, the U.S. Securities and Exchange Commission’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) warn investors against the potential risks of using social media as the basis for trading and the perils of social sentiment investment tools. What are Social Sentiment Investing Tools? Social… Read More »
Reasons You Need an Attorney for Your Florida Business Mergers and Acquisitions
Mergers and acquisitions attorneys help clients find necessary funding and provide legal guidance with drafting, negotiation, and contract performance in the sale or merging of two or more companies. Your merger may require approval of the majority of your company’s shareholders in the event it will have a large impact on either the company… Read More »
What are EDGAR Filings in Florida?
EDGAR is the Electronic Data Gathering, Analysis, and Retrieval system, which is an online program through the United States Securities Exchange Commission (SEC). EDGAR is used to perform automated tasks like collecting, validating, indexing, accepting, and forwarding of submissions from companies and other entities that are required to file forms with the SEC. The… Read More »
SEC Votes to Consider Expanding “Testing the Waters” Process for Potential Issuers
Recently, the Securities and Exchange Commission held a vote to determine whether or not to expand its current “test-the-water” rules that would allow prospective stock issuers more time to interact and engage with their potential investors. Under the original plan, only emerging growth companies, or EGCs, could enjoy this option, while companies that have… Read More »
