Blogs

Commencing on June 3, 2023, the Financial Industry Regulatory Authority (FINRA) will introduce changes to the procedure for submitting a Company-Related Action Notification form. This form initiate...

The Micro-Cap IPO marketplace started 2023 on a strong note, as 23 issuers successfully conducted their initial public offerings (IPOs) in the first quarter (Q1). Despite some variations in compari...

This article discussed the Financial Crimes Enforcement Network's (FinCEN) proposed beneficial ownership reporting requirements for private companies. This proposal was put forward in December 2021...

The Securities and Exchange Commission (SEC) introduced significant amendments to the 15c2-11 rules back in September 2020. The revised regulations, better known as the 211 rules, came into force o...

The Securities and Exchange Commission (SEC) took steps on December 14, 2022, to bolster Rule 10b5-1 under the Securities Exchange Act of 1934, better known as the "Exchange Act". These changes wer...

Throughout 2022, while larger capital markets experienced a slowdown, the Micro-Cap IPO marketplace remained relatively active. In this blog post, we analyze the state of the Micro-Cap IPO market i...

As we approach the end of 2022, one of the most striking trends in the Special Purpose Acquisition Company (SPAC) market has been the record number of terminated SPAC deals. This is a significant s...

In the wake of relentless legal battles involving small-cap and penny stock convertible debt lenders, the SEC has put forth changes aimed at modifying the concept of a “dealer” as per the Excha...

The SEC announced its proposed strategic blueprint for the period of 2022-2026 on August 24, 2022, and invited the public to comment on the proposal. The plan reveals three primary objectives: (i) ...

While the larger capital markets experienced a slowdown, the micro-cap marketplace maintained its momentum during the third quarter of 2022 (Q3). In this blog post, we explore the state of the Micr...