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Results: 1-7 of 7
H-S-R Act settlement highlights availability of "investment only" exemption
- Herrick Feinstein LLP
- -
- USA
- -
- October 23 2012
The Department of Justice has proposed an $850,000 fine to settle civil charges brought against an investment fund for Hart-Scott-Rodino Act violations
Popular two-track M&A structure could trigger 1934 Act prohibitions
- Herrick Feinstein LLP
- -
- USA
- -
- October 23 2012
A member of the SEC Corporation Finance Division's Office of Mergers and Acquisitions issued a warning that a popular two-track merger and acquisition structure could trigger certain prohibitions under the Securities Exchange Act of 1934
SEC approves tougher standards for companies going public through reverse mergers
- Herrick Feinstein LLP
- -
- USA
- -
- November 23 2011
The United States Securities and Exchange Commission has approved new listing rules for the NASDAQ Stock Market, the New York Stock Exchange and the NYSE Amex Stock Exchange relating to companies seeking to go public after completing a reverse merger
NYSE seeks to tighten rules for reverse mergers
- Herrick Feinstein LLP
- -
- China, USA
- -
- September 21 2011
The Public Company Accounting Oversight Board (the "PCAOB") has raised concerns about the financial statements of companies formed as a result of reverse mergers between Chinese operating companies and shell companies, whose securities are registered in the United States
Public company perspectives
- Herrick Feinstein LLP
- -
- USA
- -
- August 10 2011
The SEC has continued its recent pace in bringing enforcement proceedings and looking into allegations of fraud
SEC warns investors about investing in reverse merger companies
- Herrick Feinstein LLP
- -
- USA
- -
- August 10 2011
On June 9, 2011, the SEC issued an Investor Bulletin about investing in companies that enter the U.S. capital markets through reverse mergers
SEC adopts final rules for venture capital exemption to the Investment Advisers Act
- Herrick Feinstein LLP
- -
- USA
- -
- July 27 2011
The Securities and Exchange Commission (the “SEC”) has recently adopted final rules, pursuant to the Investment Advisers Act of 1940, clarifying the venture capital exemption to registration
Current Search
- Workarea - Capital Markets
- Workarea - Corporate Finance/M&A
- Author - Irwin Kishner