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In 2010, the SEC launched an initiative to determine if issuers with foreign operations were accurately reporting their financial results, and to assess the quality of the audits of Chinese issuers engaging in reverse mergers. -
The Securities and Exchange Commission (“SEC”) has proposed amendments to Regulation D that, if adopted, would ban certain “felons” and other “bad actors” from reliance on the exemption from securities registration provided under Rule 506 of Regulation D under the Securities Act of 1933 (the “Proposal”). The Proposal would also prohibit banned persons from claiming “covered securities” status for purposes of the preemption of state Blue Sky laws for Rule 506 offerings.
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The popularity of the Frankfurt Stock Exchange (FSE) is demonstrated by the increasing number of U.S. companies seeking to go public by listing on the FSE. Many U.S. issuers are seeking to go public direct on the Frankfurt instead of the OTC Markets and U.S. Stock Exchanges. Like U.S. listed companies, issuers are able to list on the FSE using a direct public offering or by completing a reverse merger with a public shell. Currently there are more than 3,200 U.S. companies on the FSE.
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If a private company undertakes a registered public offering, the Securities Act requires the private company file a registration statement with the SEC before it may offer its securities for sale to the public.
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