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Corporate ARTICLES

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Raising Capital Under the New SEC Rule 506 (c)

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Effective September 23, 2013, issuers can use general solicitation and advertising in an offering of its securities provided that each and every purchaser is an accredited investor (“Rule 506(c)”).

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Networking Opportunity for Chief Financial Officers

By: Ira R. Halperin

Success is built on identifying a need and then meeting it. That is pretty much how the current CFO and Financial Executive Committee got its genesis. “When we started the current committee about four years ago, you couldn’t really call it a committee,” says co-Chair Ira Halperin, “It was more of a forum.”

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Directors Beware: It Could Happen to You!

By: Ira R. Halperin

A recent decision of Delaware Chancery Court (the “Court”) has left many corporations and directors wondering whether their current bylaws are sufficient and clear enough to address certain indemnification and advancement issues. Generally, directors are protected to a great extent under a corporation’s bylaws, especially with regard to indemnification.

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Major Changes to Rule 144 – Small Businesses Rejoice

By: Ira R. Halperin

On November 15, 2007, the Securities and Exchange Commission (SEC) voted unanimously to adopt several rule amendments designed primarily to enable smaller companies to raise capital more effectively and ease some of the historically burdensome reporting and disclosure requirements.

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Internal Control Guidance For Small Companies

By: Ira R. Halperin

On July 30, 2002, President Bush signed into law the Sarbanes Oxley Act of 2002 ("SOX"). Rule 404 of SOX requires public companies to annually provide investors with an assessment of the quality of their internal control over financial reporting. Accelerated filers, typically large public companies, were required to comply with the requirements of Rule 404 for its first fiscal year ending on or after November 15, 2004.

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Accredited Investor Today Not Tomorrow

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Beginning July 21, 2010, who can buy and to whom companies can  sell privately placed securities changed when President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).

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