Regulation A+ and Other Alternatives to a Traditional IPO

Financing Your Growth Business Following the JOBS Act
John Wiley & Sons Inc (Verlag)
  • erschienen am 16. Februar 2018
  • Buch
  • |
  • Hardcover
  • |
  • 176 Seiten
978-1-119-41615-9 (ISBN)
Understand Regulation A+ and other alternative funding methods Regulation A+ and Other Alternatives to a Traditional IPO delves into the details of the new SEC rules under the JOBS Act of 2012 to examine the benefits and pitfalls for entrepreneurs and investors. Written by the 'Godfather of Reg A+,' this book breaks down the complex details of Regulation A+ and other alternative funding methods to help small businesses determine how best to go public and raise capital. A traditional IPO comes with barriers that can be insurmountable for a small company seeking to enter the public markets; thus far, reverse mergers have provided a challenging 'back door' to the market, but Regulation A+ re-opens the front door to allow small cap companies to raise capital while keeping offering and compliance costs manageable in a way not possible with a traditional IPO. More complex than simple crowdfunding, yet just as accessible by all investors, Regulation A+ is a step up for entrepreneurs at any stage wanting to go public where Wall Street meets Main Street. Straightforward explanations, smart strategy, and illustrative examples make this book an invaluable guide for those seeking to truly understand the nuances of Regulation A+ in order to work more effectively within its bounds. * Understand how Regulation A+ differs from a traditional IPO and the early experience with this exciting new approach * Examine the JOBS Act and the SEC's rules under Title IV * Explore the past, present, and future of reverse mergers, special purpose acquisition companies (SPACs) and self-filings * Discover new alternatives including new rules under Rule 504 and Regulation S The new rules provide a faster, more streamlined, more cost-effective route to up to $50 million in capital, and offer companies more flexibility than ever. Every entrepreneur needs to know all available funding options, and Regulation A+ and Other Alternatives to a Traditional IPO provides essential guidance from the expert in the field.
1. Auflage
  • Englisch
  • New York
  • |
  • USA
  • Für Beruf und Forschung
  • Höhe: 209 mm
  • |
  • Breite: 261 mm
  • |
  • Dicke: 22 mm
  • 554 gr
978-1-119-41615-9 (9781119416159)
1119416159 (1119416159)
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DAVID N. FELDMAN is a prominent corporate and securities attorney, entrepreneur and partner in the global law firm Duane Morris LLP. He is often referred to as the "Godfather" of Regulation A+ having coined the term in 2010. Feldman is a strong advocate and practitioner of this exciting and emerging streamlined process of completing a smaller public offering. Feldman is a thought leader and frequent public speaker on all things small business and the small cap markets. Feldman's blog, visited by thousands each month, can be found at
Preface Acknowledgments Chapter 1: Why Go Public? Advantages of Being Public Disadvantages of Being Public Weighing the Pros and Cons Chapter 2: Pre-2012: The History of Regulation A & the Death of Small Company IPOs Regulation A - Not Too Popular Before 2012 Reg A Through the Years Why Small Companies Struggled to Go Public before the JOBS Act Reg A vs. Private Offering Under Regulation D And so...... Chapter 3: The Jobs Act and Its Genesis "Old" Regulation A Feldman First Proposes "Reg A+" at SEC Conference Development and Enactment of the JOBS Act Other Key Elements of the JOBS Act Reg A+ Title IV Language And so... Chapter 4: The SEC's Rules Under Title IV Regulation A+; Court Challenge SEC's Reg A+ Rule Proposal Comment Process Final Reg A+ Rules Massachusetts and Montana's Failed Lawsuit Against the SEC And so...... Chapter 5: Offering Statement and Light Reporting Preparation; Testing the Waters Offering Statement Preparation Light Reporting Preparation Testing the Waters And so...... Chapter 6 - Early Experience With Regulation A+ - Wall Street Partners With Main Street Who Is Utilizing Reg A+? Attractive Industries And so...... Chapter 7 - Potential Changes To Regulation A OTC Markets Petition Blue Sky Issues Testing the Waters Issues Other Issues And so...... Chapter 8 - Basics of Reverse Mergers Overview of Reverse Mergers IPOs vs. Reverse Mergers A Little History, Rule 419 and Subsequent Rulemakings The Importance of Due Diligence in Reverse Mergers And so...... Chapter 9 - Troubled Industry: China, Seasoning Rules, Bogus Shells The China Bubble Pops The SEC Responds With Draconian Seasoning Rules Bogus Shells and Prosecutions And so...... Chapter 10 - the Future of Reverse Mergers Reverse Merger then OTC Trading Bypass Seasoning with $40MM Public Offering Merger with an Operating Public Company The Real Risks of Using Bogus Shells The Future Supply and Cost of Shells And so...... Chapter 11: Special Purpose Acquisition Companies (SPACs) Introduction to SPACs: The GKN Experience The First SPAC Resurgence--Bubble and Bust SPACs' Recent Return What Is the Future of SPACs? And so... Chapter 12: Self-Filings How Do Shares of Stock Become Tradable? Self-Filing Through Form S-1 Resale Registration Mechanics of Form S-1 Self-Filing Self-Filing Through Form 10 Registration And so... Chapter 13: Other IPO Alternatives Intrastate Exemption Rule 504 Regulation S And so... Chapter 14: The Experts Speak - A Look Ahead Current Political and Economic Environment Current Developments And so... About the Author Index
Praise for
Regulation A+ and Other Alternatives to a Traditional IPO
"I applaud David's book and the comprehensive overview he's provided surrounding alternative methods to the traditional IPO, such as Regulation A+, Reg. D and Reverse Mergers. OTC Markets Group strongly supports online capital raising, as we make it less painful for smaller companies to be public. Our vision is for transparent and technology-enabled public markets to be a competitive source of growth capital for successful and sustainable companies. This publication provides thoughtful context, relevance and insight to these newer capital raising tools."
-R. CROMWELL COULSON, President, Chief Executive Officer and Director of OTC Markets Group, Inc.
"A must-read guide for every CEO, CFO, and Board member of a company evaluating the options for raising growth capital in the public markets."
-PAUL R. GUDONIS, CEO, Myomo, Inc., the first company to complete a Regulation A+ IPO onto a national securities exchange
"David provides helpful historical context to explain the recent historic changes to securities laws and explains a complicated subject with ease. He also provides a fresh, thoughtful perspective on the state of Regulation A+ and other traditional IPO alternatives along with insights into what the future might hold. This book is a must-read for any securities attorney, investment bank, platform or entrepreneur who is considering utilizing Regulation A+."
-RYAN M. FEIT, CEO and Co-Founder, SeedInvest
"In all the writing about Regulation A, what we lack is context. Why did we need the revisions to this ancient regulation? What did 'Regulation A+' replace? What are the alternatives? This is the book that answers those questions and explains Regulation A's place in our ever-more-complex regulatory regime, written by someone with deep understanding of that context."
-SARA HANKS, CEO/Founder, CrowdCheck, Inc. and Co-Chair of the Securities and Exchange Commission's Advisory Committee on Small and Emerging Companies
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