Clark Warthen, Author at KVCF PLC

How the Structure of a Reg A Offering Can Be Critical to Its Success

by Clark Warthen | Mar 8, 2022 | Regulation A

Under Regulation A (Reg A), an issuer has the flexibility to adjust the structure of its securities offering to generate greater potential interest from prospective investors, independent broker-dealers, and registered investment advisors (RIAs). For example, a...

What Companies Can Expect During the Regulation A Process

by Clark Warthen | Jul 14, 2021 | Regulation A

Regulation A (Reg A) allows eligible companies to access investment capital without bearing the costs of a full public offering. Yet even in this streamlined process, companies should be prepared for substantial scrutiny from the Securities and Exchange Commission...

“Testing the Waters” in an EGC Public Offering or other Public Offering: What it Means and How it Works

by Clark Warthen | May 27, 2021 | Securities

No one wants to jump into a shower that is too cold. The same holds true for emerging growth companies (EGCs) and other issuers interested in offering their securities in the public markets. Since 2012, federal law has allowed EGCs to “test the waters,” communicating...

Posts by Clark Warthen

How the Structure of a Reg A Offering Can Be Critical to Its Success

What Companies Can Expect During the Regulation A Process

“Testing the Waters” in an EGC Public Offering or other Public Offering: What it Means and How it Works

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