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Home Archive by Category "15c2-11 Application"

15c2-11 Application

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15c2-11 Application Broker Dealer Registration Requirements FINRA FINRA Compliance FINRA Rules OTC Market OTC Markets Listing Requirements OTC Pink OTC Pink Listing Requirements OTCQB OTCQB Listing Requirements OTCQX OTCQX Listing Requirements

OTC Markets Issues Comment Letters On FINRA Rules 6432 And 5250; The 15c2-11 Rules

Laura Anthony, Esq.

March 20, 2018

January 8, 2018, OTC Markets Group, Inc. (“OTC Markets”) submitted a comment letter to FINRA related to FINRA Rule 6432. Rule 6432...

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15c2-11 Application FINRA FINRA Compliance FINRA Rules OTCBB SEC

FINRA Proposes Expansion Of The OTCBB

Laura Anthony, Esq.

August 29, 2017

In August 2016, FINRA quietly requested comment on a proposal to expand the now largely dormant OTC Bulletin Board quotation service...

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15c2-11 Application Crowdfunding FINRA Funding Portals Intrastate Offering JOBS ACT and Crowdfunding Rule 147 SEC Rule 15c2-11 Section 3(a)(11)

State Crowdfunding Using Intrastate Offerings and Rule 147

Laura Anthony, Esq.

September 10, 2013

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15c2-11 Application OTC Market OTCBB OTCQB and OTCQX OTCQX Pinksheets SEC Rule 15c2-11 Securities Attorneys

OTC Market Group Has Modified Its Alternative Reporting Standard

Laura Anthony, Esq.

June 11, 2013

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15c2-11 Application FINRA OTC Market S-1 Registration Statement SEC Rule 15c2-11 Securities Attorneys

SEC Suspends Trading On 61 Shell Companies

Laura Anthony, Esq.

June 3, 2013

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15c2-11 Application Due Diligence FINRA OTC Market OTCBB OTCQB OTCQB and OTCQX OTCQX Pinksheets Private Investment in Public Equity (PIPE)S-1 Registration Statement SEC Rule 15c2-11 Securities Attorneys

The OTCQX And OTCQB Are Finally Recognized As “Established Public Markets” By The SEC

Laura Anthony, Esq.

May 29, 2013

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15c2-11 Application OTC Market OTCBB Pinksheets SEC Rule 15c2-11 Securities Attorneys Small Cap Market

OTC Market Groups Has Modified Its Alternative Reporting Standard Effective January 3, 2013

Laura Anthony, Esq.

January 4, 2013

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15c2-11 Application Crowdfunding FINRA JOBS ACT OTC Market Public Shell Company Reverse Mergers SEC Guidance SEC Rule 15c2-11 Securities Attorneys Uncategorized

SEC Suspends Trading for Record Number of Shell Companies

Laura Anthony, Esq.

May 14, 2012

The Securities and Exchange Commission (SEC) today suspended the trading in 379 dormant shell companies. This is the most trading s...

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15c2-11 Application DTC Chill DTC Eligibility FINRA Form 10 Going Public Private Placement Rule 144 Rule 419 SEC Rule 15c2-11 Small Cap Market

Why Rule 419 Companies May Revitalize the Small-Cap Market

Laura Anthony, Esq.

November 16, 2011

Are Rule 419 Companies poised to be the next big thing in the small-cap sector? Recently, the small-cap and reverse merger market...

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