Module 5 covers a few remaining aspects involved in the post-IPO trading of securities and required reporting, as well as the limited sale of securities within a state. The initial public offering of securities opens the door wider to SEC ...

Under the Securities Act of 1933.[1] there are 3 types of offerings of securities to investors: Registered Offerings:Section 5 reads: “(a) Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or ...

After the WorldCom corporate scandal broke, SEC investigators and lawyers found pervasive fraudulent activities by WorldCom executives. The SEC alleged that various underwriters who had participated in WorldCom’s 2000 and 2001 public debt offerings had failed to conduct adequate due ...

Overview of the IPO While most corporate financings source funds privately rather than from public investors or through the debt market or loans, the Initial Public Offering is the “Holy Grail” of corporate financing as the IPO can raise the ...

Financing is the life blood of young, growing firms. Without funds, businesses would not be able to grow and prosper. Likewise, for established major businesses, financing provides strategic options for growth, merger or acquisitions, “going public”, restructuring, or “going private.” ...

A Chapter 13 bankruptcy is an individual reorganization for people who have enough disposable income to pay both their bills and their debts, and who own property that they want to protect, but who need a break to get back ...

Not all bankruptcies are designed solely to get rid of debt. A bankruptcy court may oversee the restructuring of a debt load of a company that allows the company to continue operating. This process is called “reorganization” or “rehabilitation.” Chapters ...

The decision to file a personal or business bankruptcy is one of the most difficult decisions that an individual, family or business can make. People file bankruptcy for all sorts of reasons, from medical disasters to business failures to being ...

A fresh start. That’s what Pip wasn’t afforded in the Dickens novel, Great Expectations, as Dickensian England sent people to prison if they couldn’t pay their debts. By some estimates, more than half of English prisoners in the 18th and 19th century ...

The agreement drafters in our exercise are using a template they found on the Internet as the basis for the company’s bylaws. We will examine some of the possible problem areas to look out for when relying on templates, including: ...