Life Sciences/Securities Advisory: Important Factors That May Affect the Size of Your Financing Transaction
6/1/2011
By Brian P. Keane, Jonathan L. Kravetz, and Megan N. Gates
Publicly traded life science companies seeking to raise capital in public equity markets should be aware of the rules and regulations promulgated by securities exchanges and the SEC, which may affect the size of an offering. In particular, knowing how the NASDAQ 20% Rule or the so-called “Baby Shelf Rules” may come into play in offerings are factors to consider in advance. This advisory provides details on how addressing these rules beforehand can help you structure a financing transaction that can maximize the potential amount of funds that you can raise.
