15c2-11 ApplicationCrowdfundingFINRAJOBS ACTOTC MarketPublic Shell CompanyReverse MergersSEC GuidanceSEC Rule 15c2-11Securities AttorneysUncategorized SEC Suspends Trading for Record Number of Shell Companies Laura Anthony, Esq.May 14, 2012 The Securities and Exchange Commission (SEC) today suspended the trading in 379 dormant shell companies. This is the most trading s... 045300
Form 10JOBS ACTJOBS ACT and CrowdfundingReverse MergersSEC GuidanceSecurities Attorneys SEC Issues Guidance on Registration and Deregistration Under Jobs Act Laura Anthony, Esq.April 18, 2012 On April 5, 2012 President Obama signed the JOBS Act into law. Some of the rules went into effect immediately, such as the ability... 031300
FINRAOTC MarketOTCBBOTCQB and OTCQXPinksheetsUncategorized SEC Grants Accelerated Approval to FINRA Rule Amendment Regarding Minimum Quotation Size Requirements for OTC Equity Securities Laura Anthony, Esq.June 19, 2012 On June 15, 2012, the SEC granted accelerated approval to an amendment to FINRA rule 6433 related to the minimum quotation size for... 028900
CrowdfundingFunding PortalsJOBS ACTJOBS ACT and CrowdfundingRegulation DSecurities Attorneys SEC Still on Track to Meet the 270 Deadline to Enact Crowdfunding Rules Laura Anthony, Esq.July 10, 2012 The SEC is still on track and expects to meet the 270 day deadline to draft rules and enact Title III of the JOBS Act creating the n... 028300
CrowdfundingJOBS ACTJOBS ACT and CrowdfundingReverse MergersS-1 Registration StatementSecurities Attorneys SEC Issues Guidance on Title 1 of the JOBS Act Laura Anthony, Esq.April 23, 2012 On April 5, 2012 President Obama signed the JOBS Act into law. Some of the rules went into effect immediately; others are busily in... 026600
Broker-DealerCrowdfundingFINRAJOBS ACTSecurities Attorneys SEC Approves Revision to FINRA Rule Regarding Broker Dealer FINRA Filing Requirements for Private Placement Offerings Laura Anthony, Esq.June 13, 2012 On June 7, 2012 the SEC granted accelerated approval to a FINRA rule change regarding broker dealer FINRA filing requirements for ac... 026500
CrowdfundingFINRAJOBS ACTJOBS ACT and CrowdfundingReverse MergersSEC GuidanceSecurities AttorneysUncategorized SEC Grapples With Crowdfunding Rulemaking Laura Anthony, Esq.April 24, 2012 On April 5, 2012 President Obama signed the JOBS Act into law. The SEC’s Rulemaking Duty Some of the rules went into effect immed... 024200
CrowdfundingDodd-Frank ActJOBS ACTJOBS ACT and CrowdfundingRegulation DSecurities AttorneysUncategorized SEC Will Not Meet Deadline to Remove Ban on General Solicitation and Advertising in Private Offerings and Hedge Funds Laura Anthony, Esq.June 29, 2012 The SEC won't make the 90-day deadline to draft rules and enact Title II of the JOBS Act eliminating the ban on advertising and gene... 024100
CrowdfundingFunding PortalsJOBS ACTJOBS ACT and CrowdfundingSecurities Attorneys SEC Staff Meeting with National Crowdfunding Association Laura Anthony, Esq.May 25, 2012 On May 14, 2012, the SEC staff met with representative of the National Crowdfunding Association to discuss issues regarding the impl... 022600