The Securities Exchange Act of 1934, also known as the Exchange Act of 1934 or the 1934 Act, authorized the formation of the Securities and Exchange Commission (SEC) to regulate the aftermarket for securities through regulation of the securities themselves, markets, and financial professionals.
In a volatile market, companies may see their stock value drop significantly. This can result in employees and other service providers holding stock options that are “underwater” or “out of…
Entrepreneurs often ask whether equity crowdfunding is a viable option for funding their company. As is often the case with questions to an attorney, the answer is “it depends”. In…
An earlier version of this post originally appeared on In The (Red): The Business Bankruptcy Blog, which I created for CEOs, CFOs, boards of directors, credit professionals, in-house counsel and others to…
A question I receive frequently from entrepreneurs raising capital for the first time is whether they can raise money from people who do not meet the SEC definition of “accredited…
A direct listing is the process by which a company lists shares held by its existing stockholders for sale on a public exchange.
An Initial Public Offering (IPO) is the first listing of a security on a public exchange.
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