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For more than one hundred years the law firm of Sonfield & Sonfield has been providing legal services to the financial services industry and to companies seeking access to capital markets, tracing its roots back to 1898 in the City of Houston, Texas when Leon
Sonfield stepped away from his ministry and was admitted to practice before the Supreme Court of Texas. Today, Robert Leon Sonfield, Jr., the grandson of Judge Leon Sonfield, serves as managing director of the firm. The firm provides specialized services in the areas of securities regulation, federal income taxation, financial services consulting and regulatory consulting as well as consultation on emerging issues concerning innovative and complex financing, IPOs, mergers and acquisitions, and capital markets access.
The Securities and Exchange Commission issued a report that makes clear that companies can use social media outlets like Facebook and Twitter to announce key information in compliance with Regulation Fair Disclosure (Regulation FD) so long as investors have been alerted about which social media will be used to disseminate such information. Read more.
Section 4(a)(2) of the Securities Act of 1933 (the “Act”) exempts from registration “transactions by an issuer not involving any public offering.” Read more.
The changes made by the Securities and Exchange Commission to the whistleblower rules, as required by the Dodd-Frank Act, have garnered a great deal of attention from the corporate community. Read more
What information can an issuer disseminate prior to filing the Form C with the Commission and providing it to the relevant intermediary? Read more.
A DTC Chill can come in one of two forms: (i) suspension of clearing, settlement, and depository services, or (i) suspension of all services. The first is referred to as a “Deposit Chill” and the second as a “Global Lock.” Read more.
The SEC is concerned about the effects of new Rule 506(c), general solicitation in Regulation D offerings. The Commission has proposed rules that will limit the use of new Rule 506(c) by issuers. Read more.
An overview.Read more.
Congress passed the Jumpstart our Business Startups (JOBS) Act in April 2012, a game-changing piece of legislation, which directed the SEC to adopt rules permitting general solicitation and advertising in private offerings of securities by July 2, 2012. Read more.
During a Quiet Period, a publicly-listed company cannot make any announcements about anything that could cause a normal investor to change their position on the company's stock. Read more.
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