Investing in microcap shell companies or firms engaging in reverse merger transactions carries substantial risks of which investors must be aware. This article provides an in-depth examination of h...
Regulation A+ ("Reg A+") provides an intriguing capital-raising pathway for microcap companies as an alternative to a traditional initial public offering (IPO). Here we examine how Reg A+ works, it...
Inaccurate financial reporting poses major risks for microcap companies. False or misleading financial statements filed with the Securities and Exchange Commission (SEC) undermine investor trust an...
Insider trading poses major risks for microcap companies. The Securities and Exchange Commission (SEC) aggressively enforces insider trading laws across markets, including microcap stocks. This art...
So-called "pump and dump" schemes continue posing major risks in the microcap markets. These illegal schemes to manipulate share prices remain an area of aggressive enforcement by the Securities an...
As we approach the end of the Government fiscal year, the Securities and Exchange Commission (SEC) has been particularly active. This week alone, the Commission filed a myriad of cases touching on ...
In a recent development that has caught the attention of the investment community, the U.S. Securities and Exchange Commission (SEC) has issued a settled Order against Prime Group Holdings LLC, a p...
After a law firm fell victim to a cyberattack, the U.S. Securities and Exchange Commission (SEC) issued a subpoena demanding various pieces of information, including the identities of clients poten...
The NYSE submitted a proposed rule change to the SEC that would revise the initial listing requirements.
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Scott Taffet discusses how New York litigators are overlooking the Offer to Compromise as a powerful but underused settlement tool.
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