![Private: [ID: YFPbEBt9tyU] Youtube Automatic](https://lawcast.com/wp-content/uploads/2022/04/private-id-yfpbebt9tyu-youtube-a-360x203.jpg)
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...
Year: 2016
- Sort by: Most viewed
![Private: [ID: ELcIgtntW-Q] Youtube Automatic](https://lawcast.com/wp-content/uploads/2022/04/private-id-elcigtntw-q-youtube-a-360x203.jpg)
NASDAQ Listing Requirements and Disclosures
NASDAQ Listing Requirements and Disclosures- NASDAQ has several listing applications depending on the circumstances of the listing s...
![Private: [ID: 70wn03Hy764] Youtube Automatic](https://lawcast.com/wp-content/uploads/2022/04/private-id-70wn03hy764-youtube-a-360x203.jpg)
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...
![Private: [ID: T2AuQDGlQHk] Youtube Automatic](https://lawcast.com/wp-content/uploads/2022/04/private-id-t2auqdglqhk-youtube-a-360x203.jpg)
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...
![Private: [ID: yufRruC22wE] Youtube Automatic](https://lawcast.com/wp-content/uploads/2022/04/private-id-yufrruc22we-youtube-a-360x203.jpg)
NASDAQ Requirements and Corporate Governance Standards
NASDAQ Requirements and Corporate Governance Standards- All NASDAQ companies are required to comply with stringent corporate governa...
![Private: [ID: 4IBVbfgsInU] Youtube Automatic](https://lawcast.com/wp-content/uploads/2022/04/private-id-4ibvbfgsinu-youtube-a-360x203.jpg)
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...
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...
![Private: [ID: Cz3rnEJS_jg] Youtube Automatic](https://lawcast.com/wp-content/uploads/2022/04/private-id-cz3rnejsjg-youtube-au-360x203.jpg)
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...