Archive for September, 2007
Tip of the Week: Is the House in Order? Getting Ready to go Public
By David Feldman at 30 September, 2007, 8:21 pm
You’re excited. You have met an investment banking or law firm. They have suggested that going public might be a logical strategy to help your company grow, raise capital, make acquisitions, etc. But are you really ready? Even assuming going public makes sense, are there any barriers that might make it difficult or a slower [...]
Read More >>Tip of the Week: Is the House in Order? Getting Ready to go Public
By David Feldman at 24 September, 2007, 8:20 pm
You’re excited. You have met an investment banking or law firm. They have suggested that going public might be a logical strategy to help your company grow, raise capital, make acquisitions, etc. But are you really ready? Even assuming going public makes sense, are there any barriers that might make it difficult or a slower [...]
Read More >>Feldman Weinstein & Smith SEC Comment Letter re Smaller Reporting Company Regulatory Relief and Simplification
By David Feldman at 23 September, 2007, 8:18 pm
This is our firm’s comment letter to the SEC’s proposed elimination of Regulation S-B and migrating all current S-B reporters to a scaled disclosure version of Regulation S-K:
FELDMAN WEINSTEIN & SMITH LLP
420 Lexington Avenue
New York, NY 10170
Telephone: 212-869-7000
Facsimile: 212-997-4242
www.feldmanweinstein.com
September 17, 2007
Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549-1090
Attention: Nancy M. Morris, Secretary
Via e-mail: rule-comments@sec.gov
Re: [...]
SEC Small Business Forum next week..
By David Feldman at 18 September, 2007, 8:17 pm
“The SEC hosts an annual forum that focuses on the capital formation concerns of small business. Called the SEC Government-Business Forum on Small Business Capital Formation, this gathering has assembled annually since 1982, as mandated by the Small Business Investment Incentive Act of 1980. A major purpose of the Forum is to provide a platform [...]
Read More >>Virgin Shell Creation Escalating; They’re Easy to Set Up - Right?
By David Feldman at 13 September, 2007, 8:16 pm
Here’s the good news. The pace at which virgin shells are being created is escalating, as the market continues to recognize the value of these straightforward vehicles. And that value is increasing with the potential elimination of the so-called Worm/Wulff restrictions; the SEC will shortly approve a rule making Rule 144 resale of shell shares [...]
Read More >>The Week that Hell Brought
By David Feldman at 8 September, 2007, 8:15 pm
I was driving my daughter and her friend to school on a sunny Tuesday morning when it came over the radio. We thought it was a joke on the top 40 station. “A small plane has hit the World Trade Center.” When we realized it was real, I said, well that’s downtown, my office is [...]
Read More >>And the Rule 144 proposal comments are in…
By David Feldman at 7 September, 2007, 8:13 pm
This past Tuesday was the deadline to submit comments to the extremely fantabulous SEC proposal to shorten the holding periods for restricted securities under Rule 144 in most cases to six months. As we all know, this change (along with the changes to Form S-3 availability and other things) has already had a major impact [...]
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