SEC Guidance Registering Convertible Securities Laura Anthony, Esq.January 12, 2010 Many clients seek to register convertible securities, such as convertible debentures, warrants, options or convertible preferred sto... 029700
Regulation ARule 134Rule 504 Regulation A – An Exemption By Any Other Name Is A Short Form Registration Laura Anthony, Esq.May 12, 2010 Although Regulation A is legally an exemption from the registration requirements contained in Section 5 of the Securities Act of 193... 030200
Form 10Going PublicReverse MergersRule 144Section 13 Rule 144 and the Evergreen Requirement Examined Laura Anthony, Esq.January 22, 2010 Technically Rule 144 provides a safe harbor from the definition of the term “underwriter” such that a selling shareholder may utiliz... 052400
Blank Check CompaniesRule 419Securities Attorneys Rule 419 and Offerings by Shell or Blank Check Companies Laura Anthony, Esq.January 5, 2010 The provisions of Rule 419 apply to every registration statement filed under the Securities Act of 1933, as amended, by a blank chec... 01.4K00
SEC Guidance Rule 701 – Exemption for Offers and Sales to Employees of Non-Reporting Entities Laura Anthony, Esq.January 1, 2010 While the issuance of small numbers of shares as prizes or awards to employees may be made without Securities Act Registration, if s... 036400