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The public offering of a portfolio holding must be properly anticipated prior to making the investment. The initial private placement agreement should contain carefully negotiated rights to financial information and registration rights. This article outlines the sea change brought about by the Sarbanes-Oxley Act of 2002, the going public process, and the possibilities of Rule 144A and Rule 144.The article also provides outlines of a typical S-1 Prospectus format and the underwriter’s due diligence procedures. Read more >>
Nobody asks their accountant whether they registered with the new Public Company Accounting Oversight Board (“PCAOB” or the “Board”). What a question! That’s like asking the driver taking you to an important meeting if he has renewed his driver’s license. Well, better check it out. Read more >>
This article was originally published in the New York Law Journal on June 10, 2003. The rule examined in the article became effective on August 5, 2003. Read more >>