DAD/PALOTC MarketOTC Markets Listing RequirementsOTC PinkOTC Pink Listing RequirementsOTCBBOTCQBOTCQB and OTCQXOTCQB Listing RequirementsOTCQXOTCQX Listing RequirementsSection 12Uncategorized OTCQX Listing and Quotation Eligibility and Requirements for International Companies Laura Anthony, Esq.September 8, 2014 066100
JOBS ACTJOBS ACT and CrowdfundingPrivate OfferingsPrivate PlacementRegulation ARegulation A+Rule 156Rule 506Rule 6490Section 4(a)(2)Uncategorized Private Offering Rule Changes Since JOBS Act Laura Anthony, Esq.December 2, 2014 065400
FINRAForm 10Form 8-KForm S-1JOBS ACTPublic Shell CompanyRule 144S-1 Registration StatementSEC Rule 15c2-11Securities Attorneys SEC Files Proceedings Against 19 S-1 Companies and Suspends Trading on 255 Shell Companies Laura Anthony, Esq.February 4, 2014 065100
Form 10Form 10-KForm 10-QForm 8-KRegulation S-KRule 144Rule 144ASchedule 14CSmaller Reporting CompanyUncategorized Will the Disclosure Modernization and Simplification Act of 2014 Simplify Reporting Requirements for ECG’s and Smaller Reporting Companies? Laura Anthony, Esq.December 23, 2014 062700
Depository Trust Company (DTC)DTC ChillDTC EligibilityDTC Global LocksGlobal LockRule 144Rule 144ASecurities AttorneysUncategorized Once Again, DTC Amends Proposed Procedures for Issuers Affected by Chills and Proposes Subsequent Rule Change Laura Anthony, Esq.May 13, 2014 062000
CrowdfundingForm CFunding PortalsJOBS ACTJOBS ACT and CrowdfundingPCAOB AuditingSEC GuidanceSecurities Attorneys Proposed Crowdfunding Rules – Part IV Laura Anthony, Esq.January 14, 2014 061900
NASDAQPCAOB AuditingSecurities AttorneysSmall Cap Market The NASDAQ Private Market Laura Anthony, Esq.March 25, 2014 061200
FINRAFINRA ComplianceOTC MarketOTCBBOTCQBOTCQB and OTCQXOTCQXPinksheetsUncategorized FINRA Seeks to Eliminate the OTCBB and Impose Regulations on the OTC Markets Laura Anthony, Esq.October 28, 2014 060600
FINRAFINRA ComplianceOTC MarketReverse SplitRule 10b-17Small Cap MarketUncategorized The ECOS Matter; When Is A Reverse Split Effective? Laura Anthony, Esq.September 30, 2014 060400
Accredited InvestorsC&DIRule 506SEC GuidanceSection 4(a)(2)Securities AttorneysSmall Cap MarketUncategorized SEC Extends Valuable Guidance to Determine and Verify Accredited Investors Laura Anthony, Esq.July 15, 2014 059800
