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SEC Disclosure Requirements and Regulation S-K
SEC Disclosure Requirements and Regulation S-K- Today is the continuation in a Lawcast series discussing SEC disclosure requirements...
Year: 2016
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NASDAQ Listing Requirements and Disclosures
NASDAQ Listing Requirements and Disclosures- NASDAQ has several listing applications depending on the circumstances of the listing s...
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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...
SEC Issues New C&DI On Rule 701
On June 23, 2016, the SEC issued seven new Compliance and Disclosure Interpretations (“C&DI”) related to Rule 701 of the Securit...
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NASDAQ Requirements and Corporate Governance Standards
NASDAQ Requirements and Corporate Governance Standards- All NASDAQ companies are required to comply with stringent corporate governa...
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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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NASDAQ Listing Requirements and the Definition of Independent Director
NASDAQ Listing Requirements and the Definition of Independent Director- Under NASDAQ rules “independent director” means a person tha...
DTC Again Proposes Procedures For Issuers Subject To Chills And Locks
On June 3, 2016, the DTC filed a new set of proposed rules to specify procedures available to issuers when the DTC imposes or intend...
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SEC Comment Letter Process
SEC Comment Letter Process- As discussed in the first two Lawcasts in this series, The SEC Division of Corporation Finance, referred...