Raising capital: securities law and other considerations : an entrepreneur's guide
The Department, 1997 - Business & Economics - 76 pages
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The Regulation D Exemptions
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$5 million 506 offerings accredited investors aggregate offering price amendments American Stock Exchange Blue Sky laws Category common stock company's compliance comply corporate default delivery directors disclosure system dividends electronic entrepreneur equity Exchange Act exempt from registration filing financial statements Form S-3 go public initial public offering integration investment agreement investment banking firm issuance Legal Due Diligence Limited Offerings liquidation preference market makers Minnesota NASD Nasdaq National Market system number of offerees number of purchasers number of shares offer or sale Offerings Exempt offers and sales Participating preferred stock persons potential investors preferred stock prior prospectus public float pursuant raising capital registration rights registration statement reporting companies representations and warranties resale Rule 504 offerings safe harbor sale of securities Section 3(a)(ll Section 4(6 Securities Act securities offered selling shareholders shares of common small business issuer sold solicitation Stock Exchange stock splits transactions typically underwriter warrants