Tag Archives: Smaller Reporting Company

Can I Generally Solicit Investors?

Posted on November 7, 2012 by

Not yet! As you know, on August 29, 2012, the SEC proposed rules to eliminate the ban on general solicitation in certain securities offerings. Since then the SEC has been receiving comments and suggestions on its proposed rules; you can … Continue reading →

Posted in JOBS Act, Reg D 506, Rule 506(c), Securities Offerings | Tagged , , , , , , | Leave a comment

What is a Finder?

Posted on October 9, 2012 by

Its no secret that both private and public companies, large or small have challenges raising much needed capital from investors. Access to equity can be difficult when complying with a maze of state and federal rules and regulations.  Business owners … Continue reading →

Posted in IPO, Reg D 506, Securities Offerings | Tagged , , , , , , , , , , | Leave a comment

California Cumulative Voting

Posted on August 20, 2012 by

  California has a strong historical attachment to cumulative voting. Corporations Code 708 grants shareholders the right to cumulate their votes in the election of directors. What does this mean? There are a number of methods for cumulative voting, but … Continue reading →

Posted in Corporate Governance, Small Business Management | Tagged , , , | Leave a comment

SEC Updates Financial Reporting Manual

Posted on July 16, 2012 by

On July 11, 2012, the Securities and Exchange Commission Division of Corporation Finance updated its Financial Reporting Manual. The changes include the age of interim financial statements, use of proforma information in MD&A, age of financial statements required in Form … Continue reading →

Posted in Financial Statements, SEC Publications | Tagged , , , , | Leave a comment