The OTCBB – Nearly Extinct, OTCQB is the Micro-Cap Reporting Standard
For the past two years it had appeared that the OTCBB had been replaced by the OTC Link run OTCQB and the OTCQX. For all intents and...
Home Archive by Category "Broker-Dealer" (Page 3)
Broker-Dealer
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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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SEC Approves Revision to FINRA Rule Regarding Broker Dealer FINRA Filing Requirements for Private Placement Offerings
On June 7, 2012 the SEC granted accelerated approval to a FINRA rule change regarding broker dealer FINRA filing requirements for ac...
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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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Private Capital Market Places – A Second Look
Last week I wrote a blog introducing, at least to me, Private Company Market Places (PCMP). A PCMP is a trading platform, such as S...
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Private Capital Marketplace – A First Look
As I discussed in a recent blog, the attraction of the small cap and reverse merger market has diminished greatly in the past two ye...
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Gunjumping Restrictions On Communications Related To IPOs
”Gunjumping” is the dissemination of information regarding the Issuer before a complete prospectus has been filed with the Securitie...
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Market Makers Rely on Due Diligence in Reverse Mergers
Learn how to quickly and effectively complete the due diligence process for reverse mergers. Florida securities attorney Laura Antho...
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