123ArticleOnline Logo
Welcome to 123ArticleOnline.com!

ALL >> Internet-Marketing >> View Article

The Law Of Going Public

By Author: Brenda Hamilton
Total Articles: 62

A private company going public is subject to three federal securities laws, each with its own unique requirements. The three laws are the Securities Act of 1933 (the “Securities Act”), the Securities Exchange Act of 1934 (the “Exchange Act”) and the Sarbanes-Oxley Act of 2002 (”Sarbanes-Oxley”).
In addition to the federal securities laws, companies going public are subject to state securities regulation of their securities public and private offerings. The Securities Act sets forth the regulations that govern the offer and sale of securities by an issuer and certain shareholders.
The Securities Act governs both private offerings such as those conducted under Regulation go public D and public offerings such as those registered on Form S-1, Form S-8 or Form S-4.
Upon completion of a going public transaction, the Exchange Act imposes periodic reporting obligations including the filing of Form 10-K, 10-Q and 8-K. For issuers who register a class of securities under the Securities Exchange Act in connection with their going public transaction, the Exchange Act imposes proxy rules requiring certain disclosures be made on Schedules 14A or 14C and certain procedures for the solicitation of shareholder votes.
Lastly, for companies with a class of securities registered under the Exchange Act, the Company’s management and large shareholders must file beneficial ownership reports of their trading activities in the company’s common shares.
In addition to governing the disclosure obligations of public companies, Rule 15c-211 Form S-1 of the Exchange Act also regulates the disclosures public companies must provide in Form S-1 order for a market maker to enter quotations of their securities. The disclosures required by Rule 15c-211 are provided on Form 211. Form 211 disclosures also enable market makers to publish quotations in a company’s securities the secondary market after the going public process is completed.
The Sarbanes-Oxley Act of 2002 established corporate governance, corporate accountability and accounting oversight provisions for the federal securities laws that apply to publicly traded companies.
During and upon completion of its going public transaction, a company remains subject to the corporate laws of the state of its incorporation. The state securities laws of the individual states also regulate private and public securities offerings unless the offering is preempted under federal law. Even where offerings are preempted under federal law, states may impose filing fees go public and notice filing requirements which is common in Rule 506 offerings under Regulation D.


For more information about going public using Form S-1, please contact Hamilton and Associates at 561-416-8956 or bhamilton@securitieslawyer101.com or visit http://www.securitieslawyer101.com

Total Views: 173Word Count: 414See All articles From Author

Internet Marketing Articles

1. Digital Marketing Solutions – A Foundation For Business Evolution
Author: Hrishikesh Deshmukh

2. Global Data Protection As A Service Market
Author: Shivani Singh

3. How To Make Dynamic Search Ads And Finest Practices
Author: SingaporeORMSEO

4. Advertiserobot Presents New Techniques Of Combining The Benefits Of Seo And Smm
Author: Tony Singh

5. Data Center Switch Market Size And Share
Author: Shivani Singh

6. Impact Of Digital Media On Sports
Author: WBJ Staff

7. Get Ready To Improve Your Website’s Performance When Using Gifs
Author: Harry Sazos

8. Global Data Governance Market Size And Share
Author: Shivani Singh

9. The Important Functions Of Seo Service In Delhi
Author: seonewdelhi

10. 5 Reasons To Hire A Professional Link Building Agency
Author: Chris Walker

11. Top 5 Benefits Of Hiring A Digital Marketing Agency For Business Growth In 2018
Author: Meenakshi Jain

12. How Email Marketing Strategy Can Promote Your Brand
Author: Hrishikesh Deshmukh

13. Content Continues To Rule, Design And Development Comes Later
Author: Partha Bhattacharjee

14. Ways To Maximize Keyword Spread In Ecommerce
Author: Hvantage Technologies

15. Global Universal Flash Storage Market Size
Author: Shivani Singh

Login To Account
Login Email:
Password:
Forgot Password?
New User?
Sign Up Newsletter
Email Address: