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OTCQB Initial Disclosure and Certification Requirements
Securities LawCast©- Legal & Compliance, LLC- OTCQB Initial Disclosure and Certification Requirements All companies are required...
Year: 2015
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Sections 13 and 16 Reporting Requirements
Sections 13 and 16 Reporting Requirements- Sections 13 and 16 are individual SEC reporting requirements for officers, directors and...
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State Blue Sky Compliance
State Blue Sky Compliance – Tier 2 offerings present a much needed opportunity for smaller companies to go public without the...
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Reg A+
Reg A+ – On March 25, 2015, the SEC released final rules amending Regulation A. The new rules are commonly referred to as Regu...
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Regulation A+ Rules
Regulation A+ rules- The new Regulation A+ rules took effect on June 19, 2015. Tier I of Regulation A+ allows for a raise of up to $...
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OTCQX Listing Requirements
OTCQX Listing Requirements- OTC Markets divide issuers into three (3) levels of quotation marketplaces: OTCQX, OTCQB and OTC Pink. T...
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506(c) Offerings
506(c) Offerings- In prior Lawcasts in this series I have been drilling down on the question of what constitutes general solicitatio...
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OTCQX Reporting Requirements
OTCQX Reporting Requirements- The following is a summary of the ongoing responsibilities for OTCQX International quoted securities:...
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Rule 506(c) Offerings
Rule 506(c) Offerings- Only Accredited Investors May Invest In A Rule 506(c) offering. In prior Lawcasts in this series I have talke...
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506(c) Rule Changes
506(c) Rule Changes- To wrap up my series on this topic I will hit on a few final points regarding Rule 506 offerings. Both Rule 506...