An Introduction To Distributed Ledger Technology (Blockchain Technology)
On July 13, 2017, FINRA held a Blockchain Symposium to assess the use of distributed ledger technology (DLT) in the financial indust...
Home Archive by Category "Broker-Dealer"
Broker-Dealer
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An Update On Dealing With The DTC Following The SEC’s Ruling On International Power Group, Ltd.
Back in October and November of 2011, I wrote a series of blogs regarding DTC eligibility for OTC (over-the-counter) Issuers. OTC I...
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Broker-DealerDirect Public Offering (DPO)Due DiligenceFINRAForm 10Funding PortalsGoing PublicGoing Public AttorneysMerger TransactionNASDAQOTC MarketOTCBBOTCQB and OTCQXPrivate Investment in Public Equity (PIPE)Public Shell CompanyReverse MergersRule 144S-1 Registration StatementSEC Rule 15c2-11Securities AttorneysUncategorized
Direct Public Offering or Reverse Merger; Know Your Best Option for Going Public
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DTC Chills, Due Process and Rule 22
Back in October and November of 2011 I wrote a series of blogs regarding DTC eligibility for OTC (over the counter) Issuers. OTC Is...
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FINRA Seeks Public Comment in Advance of Crowdfunding Rulemaking
The Financial Industry Regulatory Authority (FINRA) has requested public comment and input in advance of preparing and publishing pr...
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