Understanding Disclosure Obligations in Securities Offerings
Understanding Disclosure Obligations in Securities Offerings
This episode explores the essential disclosure obligations companies must adhere to when conducting securities offerings. It emphasizes the importance of transparency and the inclusion of all material information that can influence investors' decisions.
The discussion covers the critical components of a prospectus, including offering price, financials, management, and risk factors, as well as ongoing disclosure requirements for public companies through forms like 8-K, 6-K, 10-Q, and 10-K.
The episode also touches on the severe repercussions of violating anti-fraud rules under securities laws, stressing the necessity of accurate and full disclosures to avoid legal actions and enforcement.
Disclaimer: Joshua Wilson is a registered investment banking representative and a licensed real estate broker. The content of this podcast is for informational purposes only and should not be considered legal, financial, or compliance advice. This podcast is not a substitute for professional advice. All views and opinions expressed by the host and guests are their own and do not necessarily reflect the policies or positions of any regulatory agency, organization, or employer. Listeners are encouraged to consult their own compliance teams, legal counsel, or financial advisors to ensure adherence to applicable regulations, including SEC, FINRA, and other industry-specific requirements. This podcast does not constitute a solicitation or recommendation for any financial products or services.
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Mike Blankenship
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Mike is the managing partner of Winston’s Houston office, co-chair of the firm’s Capital Markets Practice, and a member of the firm’s Executive Committee. He focuses his practice on corporate finance and securities law, including securities offerings, public company advisory, special purpose acquisition company offerings, private equity and venture capital transactions, mergers and acquisitions, and general corporate representation.