The Rule 415 Conundrum- We Await the SEC…

In recent interpretations, staff members of the Securities and Exchange Commission’s Division of Corporation Finance for the first time have been advising small public issuers (the almost 10,000 companies with less than $75 million in public trading stock) that they must limit the percentage of their company that may be registered to increase their float. ...

Looking for Mr. Good Guy

Some people only view reverse mergers with an eye on the negatives – the “bad guys” and unsavory who exist in all corners of Wall Street but are associated frequently with reverse mergers. As I discuss in my new book Reverse Mergers, there are 11 signs to look for when trying to make sure a ...

About the Book: Reverse Mergers

My book Reverse Mergers: Taking a Company Public Without an IPO was published in September. Here is the description from the publisher: Berkshire Hathaway, Turner Broadcasting System, Texas Instruments, Tandy Corporation, Occidental Petroleum, Muriel Siebert & Co., Blockbuster Entertainment, and the New York Stock Exchange all went public without doing initial public offerings. They did ...

Frequently Asked Questions

What is a reverse merger? A reverse merger is an alternative to a traditional initial public offering (IPO) for a company desiring to have its stock become publicly traded. In a reverse merger, the owners of a private company acquire control of a dormant public one, called a “shell,” and complete a business combination with ...