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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...
Year: 2016
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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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SEC Reporting Requirements
SEC Reporting Requirements- Today is the continuation in a Lawcast series discussing SEC disclosure requirements and in particular t...
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SEC Disclosure Requirements
SEC Disclosure Requirements- Today is the second Lawcast in a series discussing SEC disclosure requirements. As mentioned in the las...
SEC Cracks Down On Failure To File 8-K For Financing Activities; An Overview Of Form 8-K
ABA Journal’s 10th Annual Blawg 100 —————————————̵...
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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...
Florida Broker-Dealer Registration Exemption For M&A Brokers
Following the SEC’s lead, effective July 1, 2016, Florida has passed a statutory exemption from the broker-dealer registration requi...