Most calendar-year companies are preparing to file their 10-Ks soon, if they have not already done so. Here are three basic things to make sure you double check: • The Economy: We’re officially out of the recession (we’re told), but the economy is in a peculiar state, with the recovery not exactly “roaring” and unemployment [...]
This posting results from a series of posts and responses in the blogosphere regarding what a board should recommend when it comes to the “frequency vote” (the say-on-pay shareholder advisory vote) this proxy season. Some context for this blogospheric brouhaha is in order: First, Mark Borges and Broc Romanek, both of whom are greatly respected [...]
This summer, the SEC issued an administrative cease-and-desist order against RAM Capital Resources, LLC (“Ram Capital”) and two members/owners involved in the business of RAM Capital. [to read more, click on title above]
In August 2009, the Corporation Finance division of the SEC published updated Compliance and Disclosure Interpretations (“C&DIs”) containing the staff’s interpretation of certain aspects of Regulation FD (the “Regulation FD C&DIs”). [to read more, click on the title above]
Though amendments to Rule 144 went into effect over 18 months ago, the amended rules continue to create significant confusion. Below is a bullet point explanation of what “restricted securities” are, and a chart that may be used to determine the availability of Rule 144 for resale of restricted securities . . . [to read more, click on the title above]
Smaller reporting companies often have a difficult time attracting the interest of traditional investment banking firms. Moreover, management at smaller reporting companies frequently does not have significant experience raising capital. As a result, smaller reporting companies oftentimes find themselves working with “finders.” Who are “finders?”(read more) – Paul Chestovich
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