An Update On Dealing With The DTC Following The SEC’s Ruling On International Power Group, Ltd.
Back in October and November of 2011, I wrote a series of blogs regarding DTC eligibility for OTC (over-the-counter) Issuers. OTC I...
Home 2012
New FINRA Rule 5123 Takes Effect Requiring Notice of Private Placements by Member Firms
The Financial Industry Regulatory Authority has adopted new Rule 5123 requiring members to file notice of their participation in pri...
0
467
0
0
Mary Schapiro to Be Replaced By Elisse Walter as Head of SEC
President Obama has chosen Elise Walter to temporarily head the Securities and Exchange Commission (SEC) when Mary Schapiro steps do...
0
212
0
0
COMPREHENSIVE REVIEW OF TITLE I OF THE JOBS ACT AS RELATED TO EMERGING GROWTH COMPANIES
On April 5, 2012, President Obama signed the Jumpstart our Business Startups Act (JOBS Act) into law. The JOBS Act was passed on a...
0
431
0
0
Proposed Rules Eliminating the Prohibition Against General Solicitation and Advertising in Rule 506 Offerings Meet With Opposition by NASAA
As required by Title II of the JOBS Act, on August 29, 2012, the SEC has published proposed rules eliminating the prohibition agains...
0
347
0
0
CROWDFUNDING FROM A TO Z
As the expected deadline for the SEC to publish rules and regulations enacting the Crowdfunding Act (Title III of the Jumpstart Our...
0
330
0
0
Proposed Rules Eliminating the Prohibition Against General Solicitation and Advertising in Rules 506 and 144A Offerings – Part II
As required by Title II of the JOBS Act, the SEC has published proposed rules eliminating the prohibition against general solicitati...
0
311
0
0
Proposed Rules Eliminating the Prohibition Against General Solicitation and Advertising in Rules 506 and 144A Offerings – Part I
As required by Title II of the JOBS Act, the SEC has published proposed rules eliminating the prohibition against general solicitati...
0
320
0
0
House Subcommittee Demands Explanation of SEC’s Delayed JOBS Act Rulemaking
Title II of the JOBS Act provides that, within 90 days of the passage of the JOBS Act (i.e. July 5, 2012), the SEC will amend Sectio...
0
264
0
0
The OTCBB – Nearly Extinct, OTCQB is the Micro-Cap Reporting Standard
For the past two years it had appeared that the OTCBB had been replaced by the OTC Link run OTCQB and the OTCQX. For all intents and...
0
399
0
0