Corp Finance

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What Does a Securities Lawyer Do?

Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, arbitrations and litigation matters across the country. You can contact him at 212-509-6544 or by email at Securities law is a specialized field of law encompassing various types of securities lawyers. Transactional securities lawyers […]

Form 10-K, Form 10-Q
Corp Finance Investors

Introduction to Form 8-K

Lawyer Form 8-K: A Comprehensive Guide for Investors In the realm of finance, staying abreast of the latest corporate developments is crucial for investors aiming to make well-informed decisions. Whether it’s a company unveiling its quarterly earnings, another grappling with auditor concerns that might signal trouble, or a third navigating […]

Securities and Exchange Commission
Compliance Corp Finance

SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections

Washington D.C., Jan. 24, 2024 New Rules for Investor Protections The Securities and Exchange Commission today adopted new rules and amendments to enhance disclosures and provide additional investor protection in initial public offerings (IPOs) by special purpose acquisition companies (SPACs) and in subsequent business combination transactions between SPACs and target […]

New accredited investor definition
Compliance Corp Finance

Bad Actor Rule of Rule 506

Rule 506 Exemption Rule 506 of Regulation D of the Securities Act of 1933 is an exemption from the registration requirements of the Securities Act for certain private securities offerings. This rule allows issuers to raise an unlimited amount of capital from an unlimited number of accredited investors, and up […]

Corp Finance

Rule 147: The Intrastate Exemption Explained

Section 3(a)(11) of the Securities Act of 1933, Rule 147, the “intrastate offering exemption,” grants relief from the registration requirements of the Securities Act for securities that are offered and sold exclusively to individuals residing within a single State or Territory. To qualify for this exemption, the issuer of the […]