Broker-DealerOTC MarketOTCBBOTCQB and OTCQX Private Capital Market Places – A Second Look Laura Anthony, Esq.December 16, 2011 Last week I wrote a blog introducing, at least to me, Private Company Market Places (PCMP). A PCMP is a trading platform, such as S... 026800
Broker-DealerNASDAQOTC MarketOTCBBOTCQB and OTCQXPinksheetsPrivate PlacementRule 419Small Cap Market Private Capital Marketplace – A First Look Laura Anthony, Esq.December 9, 2011 As I discussed in a recent blog, the attraction of the small cap and reverse merger market has diminished greatly in the past two ye... 025400
15c2-11 ApplicationDTC ChillDTC EligibilityFINRAForm 10Going PublicPrivate PlacementRule 144Rule 419SEC Rule 15c2-11Small Cap Market Why Rule 419 Companies May Revitalize the Small-Cap Market Laura Anthony, Esq.November 16, 2011 Are Rule 419 Companies poised to be the next big thing in the small-cap sector? Recently, the small-cap and reverse merger market... 037800
Depository Trust Company (DTC)DTC EligibilityForm 10OTC MarketOTCBBOTCQB and OTCQXPinksheets DTC Eligibility and the OTC Issuer (Part 3) Laura Anthony, Esq.November 3, 2011 This is the third in a series of articles I am writing regarding DTC (Depository Trust Company) eligibility for OTC (Over the Counte... 041000
Depository Trust Company (DTC)DTC EligibilityOTC MarketOTCBBOTCQB and OTCQXPinksheets DTC Eligibility and the OTC Issuer (Part 2) Laura Anthony, Esq.October 10, 2011 This is the second in a series of articles regarding DTC (Depository Trust Company) eligibility for OTC (Over the Counter) Issuers.... 034400
Depository Trust Company (DTC)DTC ChillDTC EligibilityDue DiligenceFINRAOTC MarketOTCBBOTCQB and OTCQXPinksheetsReverse Mergers DTC Eligibility and the OTC Issuer Laura Anthony, Esq.October 5, 2011 This is the first in a series of articles I am writing regarding DTC (Depository Trust Company) eligibility for OTC (Over the Counte... 040500
Private Investment in Public Equity (PIPE)Public Shell CompanyRule 144 Convertible Promissory Notes; Flexible Financing Options Laura Anthony, Esq.August 10, 2011 I have explored the topic of promissory notes in previous articles. This analysis shall specifically concentrate on convertible prom... 036400
Uncategorized An Introduction to Promissory Notes Laura Anthony, Esq.August 4, 2011 A promissory note is a written promise by a person, persons or entity to pay a specific amount of money (called "principal") to anot... 01.9K00
Form S-8SEC GuidanceUncategorized S-8 Stock, Use and Misuse Laura Anthony, Esq.July 14, 2011 A Form S-8 registration statement is popular with small business issuers as it becomes effective immediately upon filing and allows... 026900
OTC MarketOTCBBOTCQBOTCQB and OTCQXOTCQXPinksheets SEC Approves BX Venture Market Laura Anthony, Esq.June 17, 2011 The SEC has recently approved the NASDAQ OMX Group, Inc.’s application to form the BX Venture Market (“BX Market”) as an alternative... 025500