The Super 10-K
As a general rule, SEC filers must file each required periodic report (i.e. 10-Q and 10-K) separately, and if there is an amendment to something disclosed in a report (such as financial statements),...
View ArticleIs Crowdfunding Going to be Risky for Investors?
There is much to be read about the SEC’s delay in drafting and ultimately implementing the crowdfunding rules. Public comments to the SEC can be found here. Some are predicting that it will be 2014,...
View ArticleTLG Welcomes Back Ed Weaver
The Lebrecht Group, APLC is pleased to welcome Edward H. Weaver back to the firm. Ed was with TLG from March 2005 through September 2009, when he left to pursue various other professional and personal...
View ArticleDissolving a Business
As part of restructuring a business, we are often called upon to dissolve an entity, including often one or more subsidiaries of a parent company. I recently presented on Dissolving a Business during...
View ArticleWhat is General Solicitation?
Most clients are familiar with the idea that general solicitation is not allowed under most offering exemptions, including Rule 506 of Regulation D. Most clients are also aware that one of the...
View ArticleCan Facebook Be Used to Satisfy Regulation FD?….Yes!
Regulation FD and Section 13(a) of the Exchange Act prohibit public companies, or persons acting on their behalf, from selectively disclosing material, nonpublic information to certain securities...
View ArticleTales From The Road Show
I recently visited three different investment banks in three days. The purpose of the meetings was to (a) present an offering for a mutual client, (b) update each other about existing clients that we...
View ArticleSEC Asks for a 26% Raise
The new chair of the SEC, Mary Jo White, testified before Congress this week and asked to have the SEC’s budget increased by 26%, to $1.67 billion. A few of the highlights: - she reiterated her...
View ArticleListing a Reverse Merger Company on NASDAQ
NASDAQ has special rules for companies that went public via a reverse merger. By: Brian A. Lebrecht, Esq. NASDAQ Markets Overview NASDAQ has three different U.S. markets, the NASDAQ Global Select...
View ArticleTLG Attorney to Speak on Ethics at “Accounting 101 for Attorneys” Presentation
Brian A. Lebrecht, founder and President of The Lebrecht Group, APLC, will be among the presenters at a seminar on May 16, 2013 by the National Business Institute entitled Accounting 101 for Attorneys....
View ArticleWhen Is It a Good Strategy To Lie to the SEC?
This, of course, is a misleading question. The answer is never. In case you need some law to back up that conclusion, take a look at the recent case of Robert J. Vitale. Mr. Vitale was the subject...
View ArticleSponsored Research. When Is It Independent?
This week, Fox Business News contributor Tobin Smith was terminated because he violated their policy that “no contributor to FBN [Fox Business Network], nor his/her firm, and/or family members are...
View ArticleSEC Allows Solicitation in Private Offerings
At long last, the SEC has approved general solicitation in 506 offerings. I have previously blogged on the subject here and here. It seems each stakeholder group is claiming it as their own victory....
View ArticleTLG Welcomes Back Ed Weaver
The Lebrecht Group, APLC is pleased to welcome Edward H. Weaver back to the firm. Ed was with TLG from March 2005 through September 2009, when he left to pursue various other professional and personal...
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