Archive for April 17th, 2009
Great Update on Securities Issues for Smaller Companies
By David Feldman at 17 April, 2009, 6:35 pm
I was again honored to be part of an amazing panel of prominent lawyers at the American Bar Association spring meeting of the Section of Business Law at the spanking new convention center here in Vancouver. Here are a few interesting highlights: SEC Director of Small Business Policy Gerald Laporte indicated it is not likely [...]
Read More >>FINRA Continues Crackdown on Footnote 32/172 Shells
By David Feldman at 17 April, 2009, 10:46 am
I am hearing more and more anecdotal evidence that the Financial Industry Regulatory Authority (FINRA) is doing more to challenge the real intentions of tiny startup companies seeking to go public. In too many cases, these “companies” will be marketed as trading shells immediately following the completion of going public. As I have written in [...]
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