Category Archives: Securities Registration Filings
Raising Capital Under Regulation A+: The Pros and Cons of Mini-IPOs for Emerging Companies
In today’s dynamic financial landscape, emerging companies consistently explore innovative methods for raising capital efficiently and effectively. Regulation A+ offerings, often called “mini-IPOs,” have become an increasingly attractive alternative, offering businesses a pathway to raise significant capital without the burdens typically associated with traditional initial public offerings (IPOs). Consult a Florida securities registration filing… Read More »
SEC Forms S-1 and S-3: Strategic Considerations for Public Securities Offerings
When companies consider raising capital through public securities offerings, one of their primary obligations involves filing appropriate registration statements with the Securities and Exchange Commission (SEC). Two key SEC forms—Form S-1 and Form S-3—serve distinct purposes and strategic objectives, depending on the company’s circumstances and financial profile. Consult a Florida securities filings lawyer to… Read More »
SEC Review and Indications of Interest in IPO Shares
In order for a business to offer or sell its shares, it must register with the U.S. Securities and Exchange Commission (SEC) or be eligible for an exemption to registration. The first time a business offers or sells its shares to the public, this act is known as an initial public offering (or IPO)…. Read More »
Five Things to Know About SEC Enforcement Actions
The best way to avoid being involved in a U.S. Securities and Exchange Commission (SEC) enforcement action is to work with a Florida securities registration filings attorney to ensure that you are in compliance with all federal laws and regulations. At the same time, however, we know it can be important to learn more… Read More »
What is the purpose of the Securities Act of 1933?
On behalf of Law Office of Clifford J. Hunt, P.A. posted in securities registration filings on Thursday, September 6, 2018. It is likely that some of the readers of this Florida securities and business law blog purchased something without having all of the information about the item. In some cases, the purchase may be… Read More »
Cryptocurrency company gets approval to sell securities tokens
On behalf of Law Office of Clifford J. Hunt, P.A. posted in securities registration filings on Thursday, July 26, 2018. The world of cryptocurrency is an emerging financial and technological field that has pushed regulators and lawmakers to keep up with the ever-evolving and ever-growing online economy. For the most part, cryptocurrencies like Bitcoin… Read More »
What characteristics must a financial instrument have to be a security?
On behalf of Law Office of Clifford J. Hunt, P.A. posted in securities registration filings on Tuesday, July 3, 2018. Determining whether a financial instrument is to be included within the definition of the term “security” under state and federal law may require a complex analysis. The definition of a security is included in state… Read More »
