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Tag: shareholders

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Issuers Get Proactive in Disclosing Wells Notices

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When an issuer gets a “Wells Notice,” it must ask itself two questions. The first is “what’s my lawyer’s phone number?” After all, getting a Wells Notice—a note from the SEC warning the recipient that it may bring charges for securities vio...

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“Test-the-Waters” Rule Lets Companies Dip a Toe in IPOs

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It has been a rough year for IPOs, as highly touted offerings keep flopping. Ride-sharing service Uber Technologies Inc. has seen its stock price fall more than 30% from the time it went public in May. The stock of Lyft Inc., meanwhile, is...

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