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The Securities Edge Securities Blog for Middle-Market Companies

Monthly Archives: October 2013

Stock exchanges compete for technology company IPO listings – Twitter chooses NYSE, but who’s really winning?

Posted in IPOs

These are interesting times for technology companies that are contemplating initial public offerings. For companies of sufficient size, the exchange for the listing of their securities generally comes down to the New York Stock Exchange and the Nasdaq Stock Market. The NYSE has historical prestige and a long track record, while the Nasdaq has cultivated… Continue Reading

Proposed changes to Regulation D: Are these really so bad?

Posted in Capital Raising

On the same day that the SEC proposed rules that may make capital raising easier for companies by repealing the ban on general solicitation for private offerings, the SEC also proposed rules that may make it much more difficult to raise capital.  Why would they do this?  The repeal on the ban on general solicitation… Continue Reading

Protect your Board from merger and acquisition lawsuits with these five critical considerations

Posted in Mergers and Acquisitions

For a board of directors of a company, perhaps no decision is as important (and litigious) as the sale of the company in a change-of-control transaction. Shareholder lawsuits aimed at merger and acquisition (“M&A”) transactions (usually in the form of a putative shareholder class action or derivative suit) often allege that the directors of the… Continue Reading

Effect of government shutdown on SEC

Posted in Announcements

While the U.S. government over the past few years seems to be in a constant state of imminent closure, it finally has happened.  What does this mean to issuers?  At the moment, as Broc Romanek blogged about today, it will be business as usual (at least for the SEC).  For the next few weeks, the… Continue Reading