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OTC Markets, OTCQX Benefits, and NASDAQ
OTC Markets, OTCQX Benefits, and NASDAQ – There are many benefits to trading on an exchange such as NASDAQ. The biggest benefi...
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NASDAQ Listing Requirements
NASDAQ Listing Requirements- Today is the first Lawcast in a series discussing NASDAQ listing requirements. The NASDAQ Stock Market...
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NASDAQ Listing Requirements Share Price
NASDAQ Listing Requirements Share Price- To list its securities on NASDAQ, a company is required to meet: (a) certain initial quanti...
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NASDAQ Listing Requirements and the Seasoning Rule
NASDAQ Listing Requirements and the Seasoning Rule- The seasoning rules were adopted in late 2011 by multiple national exchanges, in...
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Registered Offerings Using Form S-1
Registered Offerings Using Form S-1- In the last LawCast series I detailed testing the waters in a Regulation A or A+ offering. I’m...
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Testing The Waters When Conducting An Offering Using Form S-1
Testing The Waters When Conducting An Offering Using Form S-1- Today is the continuation in a LawCast series detailing testing the w...
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What is LawCast?
What is LawCast?- I’ve been practicing securities law for more than 20 years. In that time the small cap marketplace, including the...
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The Pre-Filing Period of Testing The Waters
The Pre-Filing Period of Testing The Waters- The pre-filing period is that time frame between the decision to proceed with a public...
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SEC Regulation S-K
SEC Regulation S-K- The topic of disclosure requirements under the Securities Exchange Act of 1934 (“Exchange Act”) and in particula...
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SEC Reporting Requirements
SEC Reporting Requirements- Today is the continuation in a Lawcast series discussing SEC disclosure requirements and in particular t...