Ana Estrada

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Latest Posts › Securities and Exchange Commission (SEC)

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41st Annual Small Business Forum

Recently, the Securities and Exchange Commission (the “SEC”) released its report to Congress summarizing the principal policy recommendations made at the 41st Annual Government-Business Forum on Small Business Capital...more

9/8/2022 / Capital Formation , Capital Raising , Crowdfunding , Emerging Growth Companies , Investment Funds , Investment Opportunities , Securities and Exchange Commission (SEC) , Small Business , Startups

What’s the Deal? – Initial Public Offerings: Filing and Post-Filing Period

Here’s the deal: - Filing the registration statement is a crucial part of an initial public offering (“IPO”), and during the filing period the company must engage with the SEC Staff and respond to its comments with...more

1/28/2022 / Capital Raising , Emerging Growth Companies , Financial Markets , Initial Public Offering (IPO) , Investment , Registration Statement , Securities and Exchange Commission (SEC) , Securities Regulation

What’s the Deal? – Shelf Registration Statements and Shelf Takedowns

Here’s the deal: An effective shelf registration statement allows an issuer to be in a position to complete multiple offerings from time to time in the future without having the timing of any such offering delayed by a...more

8/4/2020 / Offering Documents , Publicly-Traded Companies , Registration Statement , Securities and Exchange Commission (SEC) , Securities Regulation , Shelf Registration

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